Sparks, Nevada
Javelin San Nicolas, formerly with Edward Jones, Barred by FINRA
Have you lost money with financial advisor Javelin San Nicolas? We are looking into allegations made about Javelin San Nicolas from Sparks, Nevada. FINRA (the Financial Industry Regulatory Authority) barred him from the securities industry. FINRA alleged that Javelin or Jovi San Nicolas failed to respond to its investigation regarding allegations that he accepted customer funds to buy a Personal Seat License (PSL) for Las Vegas Raiders tickets but never purchased the PSLs.
Javelin or Jovi San Nicolas was a financial advisor and registered representative of Edward Jones from December 2016 to August 2020. He worked in a branch office in Sparks, Nevada. San Nicolas was also terminated by Edward Jones.
Brokerage firms like Edward Jones have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Phoenix, Arizona; Seattle, Washington; Denver, Colorado; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including throughout Nevada. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Edward Jones.