Haselkorn & Thibaut, a national investment fraud law firm, has opened an investigation into former LPL Financial LLC broker Nicholas C. Ignatowski (CRD# 2409399) regarding potential misconduct and customer complaints. If you invested with Nick Ignatowski or have concerns about your investments, call 1-888-885-7162 for a free consultation.
Understanding Nicholas Ignatowski’s Background
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Nicholas C. Ignatowski operated as a financial advisor in Milwaukee, Wisconsin for over two decades before his registration ended with LPL Financial in December 2023. His extensive career in the financial services industry included positions at several firms, giving him significant experience managing client investments and retirement accounts.
Key employment history includes:
- LPL Financial LLC (August 2013 – December 2023) – Milwaukee, WI
- Ameritas Investment Corp. – Milwaukee, WI
- The Advisors Group, Inc. – Bethesda, MD
- Trusted Securities Advisors Corp.
While experience can be valuable, investors should always review their advisor’s complete regulatory history, including any complaints or disciplinary actions that may impact their financial wellbeing.
Red Flags Investors Should Consider
When evaluating any financial advisor, certain patterns warrant careful attention. The fact that Ignatowski is no longer registered with any FINRA member firm raises immediate questions about the circumstances of his departure from LPL Financial after a decade-long tenure.
Several concerning indicators include:
| Red Flag Category | Why It Matters to Investors |
|---|---|
| Registration Status Change | Advisors who leave the industry suddenly may have unresolved issues |
| Multiple Firm Changes | Frequent moves between firms can indicate performance or compliance problems |
| Customer Complaints | Past disputes may reveal patterns of problematic investment strategies |
Customer Complaints and Regulatory Issues
Investors deserve transparency about their advisor’s regulatory history. Customer complaints often reveal important patterns about an advisor’s business practices, investment recommendations, and client communication methods. These complaints become part of an advisor’s permanent record through FINRA’s BrokerCheck system.
Common types of complaints that concern investors include:
- Unsuitable investment recommendations – When advisors recommend investments inappropriate for a client’s risk tolerance or financial situation
- Misrepresentation or omission of facts – Failing to disclose important investment risks or fees
- Unauthorized trading – Making trades without proper client authorization
- Breach of fiduciary duty – Putting personal interests ahead of client interests
- Negligence – Failing to properly manage or monitor client accounts
Why These Issues Matter to Your Portfolio
Investment losses can devastate retirement plans and financial security. When advisors engage in misconduct, whether intentional or through negligence, investors often bear the financial consequences. Understanding your rights and options becomes crucial when suspicious activity occurs in your accounts.
Many investors don’t realize they have recourse options when experiencing losses due to advisor misconduct. FINRA arbitration provides a forum for investors to seek recovery of losses caused by unsuitable recommendations, unauthorized trading, or other violations of industry rules.
Protecting Your Financial Future
If you invested with Nicholas Ignatowski, several steps can help protect your interests:
1. Review all account statements carefully – Look for unauthorized trades, excessive fees, or investments that don’t match your risk profile
2. Document all communications – Keep records of emails, letters, and notes from phone conversations with your advisor
3. Calculate your losses – Determine how much your portfolio has declined and whether those losses seem reasonable given market conditions
4. Seek professional guidance – An experienced securities attorney can evaluate whether you have grounds for recovery
How Haselkorn & Thibaut Can Help
With over 50 years of combined experience and a 98% success rate, Haselkorn & Thibaut has recovered millions of dollars for investors nationwide. The firm operates on a “No Recovery, No Fee” basis, meaning you pay nothing unless they successfully recover funds on your behalf.
Investment fraud cases require specialized knowledge of securities laws, FINRA rules, and arbitration procedures. Time limits apply to filing claims, making prompt action essential to preserving your rights.
Take Action to Protect Your Investments
Don’t wait to address concerns about your investments or potential advisor misconduct. Early intervention often leads to better outcomes for investors seeking to recover losses. Whether you’ve already experienced losses or simply have questions about your advisor’s actions, professional guidance can make a significant difference.
Haselkorn & Thibaut’s investigation into Nicholas Ignatowski continues as they gather information from affected investors. Your experience and information could be valuable to understanding the full scope of any potential misconduct.
Contact Haselkorn & Thibaut today at 1-888-885-7162 for a free, confidential consultation about your investments with Nicholas Ignatowski or LPL Financial. Their experienced attorneys can review your situation, explain your options, and help you understand whether you have grounds for recovering investment losses. With their “No Recovery, No Fee” promise, you have nothing to lose by exploring your options.
