Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Nelson (Nelson), currently associated with LPL Financial 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 with a damage request of $160,000.00 on November 21, 2024.
Customer alleges that an investment made was unsuitable for the customer’s investment objectives and risk tolerance. Time frame 2020.