Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Ellis (Ellis), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ellis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $70,000.00 on February 12, 2025.
The customer alleges that in November of 2020, the Registered Representative recommended and misrepresented unsuitable, illiquid investments.
