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.
FRANCISCO M GOMEZ (FRANCISCO MANUEL GOMEZ, FRANK GOMEZ) has been suspended by FINRA from acting as a broker with a start date of 4/6/2026. The “Regulatory” disclosure was dated 3/13/2026. The allegations against Gomez were, “Respondent Gomez failed to respond to FINRA requests for information.” The duration of the suspension was listed as, “Continues until […]
Investors apparently complained about securities broker Gianpaolo Bicego (also known as Paolo Bicego) [CRD: 5211610, Beverly Hills, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gianpaolo Bicego worked for J.P. Morgan Securities LLC from February 17, 2010, through October 25, 2023, and has been registered with Wells Fargo Clearing […]
Investors may have suffered financial harm by securities broker Daniel Malcolm Makin [CRD: 4367894, Westerly, Rhode Island], given the disclosures on FINRA BrokerCheck. Makin worked for Raymond James Financial Services Inc. from March 21, 2001, to September 30, 2025. Investors should read below to review the disclosures reported on his record. Raymond James Investor Accused […]
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