April 22, 2022
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.
"*" indicates required fields