Articles Tagged with Brian Nelson

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Nelson (Nelson), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nelson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 14, 2025.

Breach of fiduciary duty; suitability; fraudulent misrepresentations and omissions; violation of FINRA rules 2010, IM-2310-2, and 2020; breach of contract.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Nelson (Nelson), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nelson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 25, 2025.

Violations of Federal Securities Laws; Violation of CA Securities Laws; CA unfair, unlawful and fraudulent business practices; Violation of CA Financial Elder Abuse Law; Breach of contract; Common Law Fraud; Breach of fiduciary duty; Negligence and gross negligence. Investments made between 2014 and 2020

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Nelson (Nelson), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nelson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on June 10, 2025.

Violation of common law fraud, breach of fiduciary duty, negligence, unsuitable recommendations. In or around 2019

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Nelson (Nelson), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Nelson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 24, 2024.

Unsuitable, breach of fiduciary duty, common law fraud, breach of contract