Nicholas R. Palumbo, Formerly of Park Avenue Securities, Barred by FINRA Following Refusal to Produce Information

Palumbo is also facing a pending customer dispute alleging material misrepresentations and omissions.

nicholas-palumbo-refusal-to-produce-informationNicholas R. Palumbo (CRD#: 1069948) was registered as a broker with Park Avenue Securities from 1999 until 2020. Previously, Palumbo was registered as a broker with Guardian Investor Services from 1987 until 1999. 

Palumbo has three disclosures on his BrokerCheck report.

January 2021 Customer Dispute

June 2021 Regulatory Judgment

April 2020 Employment Separation After Allegations

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The Sonn Law Group is currently investigating allegations surrounding Nicholas R. Palumbo. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.