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Nick Filippo Embroiled in Investor Dispute

May 3, 2022 Misrepresentation

Nick Filippo (CRD #: 6527350), a broker registered with Alexander Capital, is involved in a pending dispute, according to his BrokerCheck record, accessed on April 22, 2022. Read on if you have questions about Nick Filippo’s conduct as a broker.

Investor Dispute

An investor filed a dispute on January 18, 2022, alleging that Nick Filippo violated FINRA Rules 2020 and 2010. The investor seeks $68,276.47 in this pending dispute.

FINRA Rule 2020 and 2010

FINRA Rule 2020 prohibits the use of deception, manipulation, and other unethical means of influencing the purchase and sale of securities.

Violations of Rule 2020 and other rules are frequently automatic violations of FINRA Rule 2010, which requires that brokers meet high standards of commercial honor.

Background Information

Nick Filippo has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Nick Filippo is a registered broker in 41 states and a registered investment adviser in New Jersey and New York.

Kurta Law Can Help

If you worked with Nick Filippo and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.