Soreide Law Group provides you with new information concerning financial advisor representative Nick James Polydoros (CRD#: 1109056, Scottsdale, Arizona). Evidently, Polydoros joined securities firm UBS Financial Services beginning in December 2011. He became a financial advisor representative at UBS Financial Services in April 2013. Before then, he worked for Dain Rauscher Incorporated. Notably, FINRA BrokerCheck shows that two investors filed disputes about Polydoros. Read on to learn more about these disclosures.
Evidently, in February 2021, a client of UBS Financial Services disputed Polydoros' sales practices. Supposedly, beginning in 2018, Polydoros made unsuitable trades. It appears that the client incurred principal losses on equities transactions from 2018 to 2021. For this reason, the client seeks $525,000 in compensation in this ongoing matter.
Evidently, a client of Dain Rauscher Incorporated took issue with Nick Polydoros' trading. Supposedly, the client incurred losses in their account because Polydoros did not align his trading with the client's investment objectives, including reducing margin debt. However, Polydoros and Dain Rauscher denied the client's allegations and their request for $200,000 in compensation.
Apparently, securities broker Nick Polydoros denies allegations of sales practice violations. Have you experienced investment losses by interacting with this broker? If so, reach out to Soreide Law Group at (888) 760-6552 and speak with experienced counsel concerning a possible recovery. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The law firm has recovered substantial compensation for US clients who have experienced losses from their securities brokers and financial advisors.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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