DID NICOLE MARIE PIZZI CAUSE YOU INVESTMENT LOSSES?
Nicole Pizzi Of NYLife Securities LLC Has 1 Customer Complaint For Alleged Broker Misconduct
About Nicole Pizzi of NYLife Securities LLC?
Nicole Pizzi (CRD #5770980) , is currently employed by NYLife Securities LLC in Wayne, PA, with a questionable record highlighted by a pending customer dispute. Registered since October 31, 2013, Pizzi is licensed in 20 U.S. states and territories but has not cleared any principal/supervisory exams, potentially indicating a lack of higher managerial qualifications. Her qualifications include passing three general industry/product exams and one state securities law exam. This history, combined with a current pending litigation alleging serious misrepresentation and conversion, paints a concerning picture of her professional conduct and suggests a potential risk for clients considering her services.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Nicole Pizzi Customer Complaints and Reviews
Nicole Pizzi has been the subject of 1 customer complaint that we know about seeking to recover investment losses.
Incident Count: 1 pending customer dispute
- Dispute Details: In a dispute filed with the Court of Common Pleas in Montgomery County, PA (Docket/Case #: 2022-25161), the plaintiff alleges that in April 2019, Pizzi persuaded him to take a $70,000 loan under the pretense of buying long-term care coverage, which turned out to be a New York Life insurance policy. The plaintiff is seeking damages in excess of $50,000 for alleged conversion of property and monies. The litigation notice was served on January 3, 2023, and the case remains unresolved. Pizzi denies any wrongdoing.
Allegations Against Nicole Pizzi
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Misrepresentation: Allegedly misleading a client about the nature of a financial product, resulting in the purchase of an unintended insurance policy.
- Conversion of Property and Monies: Accused of inappropriately converting client’s funds or property for purposes other than those agreed upon, leading to financial loss for the client.
These allegations, particularly concerning her role in financial advisement, highlight significant ethical and professional concerns that potential clients should consider.
Nicole Pizzi Red Flags & Your Rights As An Investor
Of course, Nicole Pizzi 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 Pizzi at NYLife Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Nicole Pizzi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLife Securities LLC also raises questions about the brokerage firm’s 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 NYLife Securities LLC Due To Nicole Pizzi
If you have questions about NYLife Securities LLC and/or Nicole Pizzi 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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