Nicole Bolton Expelled By FINRA

Financial Industry Regulatory Authority (FINRA) barred securities broker Nicole Lynn Bolton (also known as Nicole Pageler) [CRD: 7279951, Boise, Idaho], according to disclosures on BrokerCheck. Evidently, Nicole Bolton worked for Northwestern Mutual Investment Services LLC from March 30, 2021, to March 9, 2023. Below, you’ll find a summary of Nicole Bolton’s disclosures.

FINRA Barred Bolton For Refusing To Provide Information In Investigation

Specifically, on May 15, 2024, FINRA issued Case: 2023078213501 sanctioning Nicole Bolton for violating FINRA Rules 8210 and 2010. Specifically, Bolton was barred from associating with any FINRA member in all capacities. FINRA alleged that Bolton refused to provide documents and information requested by FINRA when it carried out an investigation concerning her alleged participation in an undisclosed outside business activity (OBA).

Notably, on March 9, 2023, NMIS filed a Form U5 reporting Bolton’s voluntary termination on February 10, 2023, for engaging in an unapproved outside business activity. FINRA’s investigation originated from the Form U5 filed by NMIS.

Nicole Bolton Violated FINRA Rule 8210

Then, on March 19, 2024, as part of its investigation, FINRA sent a request to Bolton for the production of documents and information, which were due by April 9, 2024. Evidently, the Rule 8210 letter informed Bolton that a failure to comply constitutes a violation of FINRA Rule 8210, exposing her to sanctions, including a bar from the securities industry.

Subsequently, on April 3, 2024, Bolton confirmed receipt of FINRA’s letter and requested a conference to discuss it. On April 8, 2024, Staff granted Bolton an extension to produce the documents and information until April 23, 2024. However, Bolton never complied. Ultimately, during her telephone call with FINRA on April 12, 2024, Bolton confirmed with FINRA that she would not produce the information or documents requested.

Did You Sustain Losses Because Of Securities Broker Nicole Bolton?

Did you suffer financially because of Nicole Bolton? You could contact Soreide Law Group online or at (888) 760-6552 and speak to a securities lawyer concerning a possible recovery. Soreide Law Group helps investors throughout the country, works on a contingency fee basis, and advances all costs. Bolton and brokerage firms Bolton worked for deny accusations of sales practice violations.