Eric Edward Nicolassy

Date:

April 22, 2022

Type of alert:

FINRA AWC  

Eric Edward Nicolassy recently entered into a FINRA Acceptance, Waiver, and Consent. Nicolassy allegedly engaged in excessive and unsuitable trading in a senior customer’s account. He also allegedly exercised discretionary authority in at least four customer accounts without having written authorization. Nicolassy consented, without confirming or denying the allegations, to a four-month suspension and partial restitution.

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