Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nikolaos Paloumbis (Paloumbis), previously associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Paloumbis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $23,214.89 on June 23, 2023.
Suitability, Failure to Supervise, Negligence
