Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Nilson (Nilson), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nilson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 05, 2021.
Client’s representative complained that the fee based program client was invested in was unsuitable for client’s objectives, that the management fee was inappropriate, and that short term gains caused unnecessary tax implications. (8/31/2006-7/10/2017)