Investors potentially incurred losses because of securities broker Nicole Noel Middendorf (also known as Nikki Middendorf, Nicole Vandergriff, and Nikki Vandergriff) [CRD: 3251084, Minneapolis, Minnesota], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Middendorf has been registered with Raymond James Financial Services Inc. since April 28, 2017, and with Raymond James Financial Services Advisors Inc. since May 11, 2017. Investors are encouraged to continue reading to learn more about the disclosures involving Middendorf.
Evidently, an LPL Financial LLC client filed FINRA Arbitration No. 24-00611 about Nicole Middendorf. Primarily, the client alleged that Middendorf the broker made unsuitable recommendations. Because of this, the client allegedly sustained damages connected to real estate securities. As a result, on May 6, 2025 LPL Financial LLC settled this matter by paying the client $6,000 in damages.
Particularly, a client of LPL Financial disputed Nicole Middendorf’s sales practices, according to a complaint. Allegedly, Middendorf engaged in unauthorized trading and made unsuitable recommendations. It appears that Middendorf allegedly caused the client to sustain damages associated with ETFs. Therefore LPL Financial agreed to settle the matter on December 10, 2009, by compensating the client in the amount of $6,763.24.
Do you need clarification on any investment losses relating to Nicole Middendorf? Reach out to Soreide Law Group at (888) 760-6552 or online and speak to a securities lawyer regarding a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Middendorf and brokerage firms Middendorf worked for deny allegations of sales practice violations.
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Investors potentially incurred losses because of securities broker Cooper Morgan Carden [CRD: 6902893, Hoover, Alabama], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cooper Carden worked for Northwestern Mutual Investment Services LLC from December 10, 2019, to March 17, 2026. See below to find out more about the securities broker’s disclosures. Northwestern Mutual […]
Investors might have sustained losses due to securities broker Michael Owen Barry [CRD: 2690041, New Orleans, Louisiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Barry has been registered with Stifel Nicolaus Company in New Orleans, Louisiana, since July 7, 2015, as both a broker and financial advisor. Investors are encouraged to […]
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