Investors potentially experienced sales practice violations because of securities broker Amy Nuttall Zwaan (also known as Amy Elizabeth Nuttall) [CRD: 4857906, Clovis, California], according to publicly available information on FINRA BrokerCheck. It appears that Nuttall Zwaan worked for LPL Financial LLC from November 14, 2022 to May 29, 2024. He works with Alexander Capital, L.P. as of January 24, 2025, and with Alexander Capital Wealth Management LLC as of October 25, 2024. Read on to learn more about the allegations against this securities broker.
Particularly, a client brought a complaint about Amy Zwaan. The client alleged that Nuttall Zwaan misrepresented a variable annuity feature relating to income guarantees. The client also alleged the broker mishandled the annuity. For this reason, the client allegedly sustained damages. So, on June 30, 2025, LPL Financial LLC settled this matter by paying the client $26,000.00 in damages.
When brokers or financial advisors misrepresent annuity features, they may give inaccurate or incomplete information about how the product works—such as overstating guaranteed income, omitting surrender charges, or understating risks. This can mislead investors into purchasing annuities that do not fit their goals, risk tolerance, or financial situation, potentially resulting in financial harm.
Do you have concerns or questions regarding investments involving Amy Zwaan? If so, contact Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer. For years, Soreide Law Group has recouped losses for investors throughout the United States. Also, the firm takes investor cases on a contingency fee basis and advances the costs. Nuttall Zwaan and brokerage firms Nuttall Zwaan worked for deny allegations of sales practice violations.
Investors potentially experienced sales practice violations by securities broker LI Kelly (also known as LI Ding) [CRD: 6115397, Brooklyn, New York], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kelly worked for LPL Enterprise LLC from February 18, 2025, to November 12, 2025, HSBC Securities (USA) Inc. from October 10, […]
Investors have reportedly disputed the sales practices of securities broker Dominic I. Myers [CRD: 5107939, San Diego, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Myers worked for Cetera Wealth Services LLC from May 17, 2022, to the present, Cetera Investment Advisers LLC from June 29, 2023, to the […]
Investors might have sustained losses due to securities broker Michael Vernon Biggs (also known as Mike Biggs) [CRD: 1697481, Clarksville, Tennessee], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Biggs worked for Equitable Advisors LLC since January 18, 2008. Investors are encouraged to continue reading to find out more about the […]
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