DID NICOLE NOEL MIDDENDORF CAUSE YOU INVESTMENT LOSSES?
Nicole Middendorf Of Raymond James Financial Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct
About Nicole Middendorf of Raymond James Financial Services, Inc.?
Nicole Middendorf (CRD #3251084) is currently employed and registered with Raymond James Financial Services Advisors, Inc. as an investment advisor and Raymond James Financial Services, Inc. as an investment broker, both based in Minnesota. She has been registered with these firms since April and May 2017, respectively. Middendorf’s career in the securities industry includes previous registrations with Prosperwell Financial, LPL Financial LLC, and Morgan Stanley DW Inc., spanning from January 2003 to June 2017. Throughout her career, she has passed a variety of industry exams, including one Principal/Supervisory Exam (Series 24), three General Industry/Product Exams (Series 7, Series 31, SIE), and two Multi-State Securities Law Exams (Series 63, Series 65). She is currently licensed in 31 U.S. states and territories.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Nicole Middendorf Customer Complaints and Reviews
Total Disclosures:
- Customer Dispute: 2
Details of Disclosures:
- Customer Dispute (Settled)
- Date: Settled on 12/10/2009
- Allegations: Unsuitable investment and unauthorized trading during Feb-Sep 2009.
- Outcome: The complaint was settled for $6,763.24, fully contributed by Middendorf.
- Customer Dispute (Pending)
- Date Filed: March 18, 2024
- Allegations: An investment made in 2014 was deemed unsuitable based on the customer’s investment objectives and risk tolerance.
- Current Status: Pending, with the case under arbitration at FINRA.
Allegations Against Nicole Middendorf
Summary of Allegations:
- Settled Customer Dispute:
- Period: February 2009 to September 2009
- Allegation Details: Complaint involved claims of unsuitable investment choices and unauthorized trading activities.
- Resolution: Settled with a payment of $6,763.24 by Nicole Middendorf.
- Pending Customer Dispute:
- Period: Investment made in 2014
- Allegation Details: Investment was claimed to be unsuitable according to the customer’s financial goals and risk preferences.
- Current Status: The complaint is currently under arbitration, with potential damages speculated to be over $5,000.
Nicole Middendorf Red Flags & Your Rights As An Investor
Of course, Nicole Middendorf did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Nicole Middendorf at Raymond James Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Nicole Middendorf has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Raymond James Financial Services, Inc. Due To Nicole Middendorf
If you have questions about Raymond James Financial Services, Inc .and/or Nicole Middendorf and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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