Nick Giordano: New Hampshire Regulatory Action

Nick Giordano (CRD #: 7192191), a broker previously registered with Northwestern Mutual Investment Services, is the subject of a regulatory action in New Hampshire. This disclosure appears in his BrokerCheck record, accessed on August 31, 2023. Keep reading if you have questions about his conduct. 

On July 13, 2023, New Hampshire alleged that Nick Giordano sent an e-mail solicitation that was not fair and balanced, contrary to FINRA Rule 2210. 

FINRA Rule 2210

FINRA Rule 2210 defines how firms and brokers are permitted to communicate with the public (e.g., in advertising). This rule requires all communications with the public to be fair, balanced, and free from any false or misleading statements.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2210 are also violations of Rule 2010. 

New Hampshire Insurance Department Investigation 

On October 21, 2021, the New Hampshire Insurance Department initiated an investigation into Nick Giordano’s non-variable life insurance application practices and unapproved marketing emails to prospective clients. Nick Giordano voluntarily resigned during the course of the investigation. 

Background Information 

Nick Giordano has passed the following exams: 

• Series 63 Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination 
• Series 6TO Investment Company Products / Variable Contracts Representative Examination 

He has only ever registered with Northwestern Mutual Investment Services (CRD #: 2881). 

Kurta Law Can Help

If you worked with Nick Giordano and 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 that 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.