Erez Law is currently investigating Raymond James Financial Services, Inc. broker Nicole Middendorf (CRD# 3251084) regarding real estate securities losses. She has been registered with Raymond James Financial Services, Inc. in Minnetonka, Minnesota, since 2017. He was registered with Prosperwell Financial in Plymouth, Minnesota, from 2014 to 2017, and LPL Financial LLC in Plymouth, Minnesota, from 2009 to 2017.
Nicole Middendorf Customer Complaints
She has been the subject of two customer complaints between 2009 and 2024, according to her CRD report. The most recent complaint was regarding:
May 2024. “Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.” The case is currently pending. The complaint was regarding real estate securities losses, and it took place while he was registered with LPL Financial LLC.
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, Raymond James Financial Services, Inc. may be liable for investment or other losses suffered by Nicole Middendorf’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.
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