Last Updated: February 2024 (Denver, Colorado)
Nicole Bailey Investigation Summary
Here’s what you need to know about Denver, CO, stockbroker Nicole Bailey:
- Name: Nicole Paige Bailey
- Current Employer: RBC Capital Markets
- Function: Stock Broker/ Financial Advisor
- Aliases: Nicole Bailey
- Primary Location: Denver, CO
- CRD 7016719
- Can Nicole Bailey be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of $100,000-$500,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Nicole Bailey As Your Stockbroker?
In 12/2023 a customer of RBC Capital Markets filed a FINRA arbitration alleging that Nicole Bailey recommended an unsuitable investment in mortgage-backed securities causing damages of $100,000-$500,000. This matter is currently pending. Firms have a Duty to Supervise their financial advisors (FINRA Rules 3110 & 2090).
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
Allegations of Broker Misconduct Against Nicole Bailey
A customer of Nicole Bailey has alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to invest in mortgage backed securities
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
» Other Investigations of RBC Capital Markets Brokers
If you have suffered investment losses in an account handled by Nicole Bailey, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
