Were you the victim of RBC Capital Markets, LLC broker Nicole Bailey (CRD# 7016719)? She has been registered with RBC Capital Markets, LLC in Denver, Colorado, since 2018.
Nicole Bailey Customer Complaints
She has been the subject of one customer complaint, according to her CRD report:
December 2023. “Claimant alleges that, in 2022, its financial advisor recommended unsuitable investments in mortgage-backed securities.” The case was settled for $100,000.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, RBC Capital Markets, LLC may be liable for investment or other losses suffered by Nicole Bailey’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
"*" indicates required fields
