Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Nelson (Nelson), currently associated with Wells Fargo Clearing Services, 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 April 06, 2025.
The client complains their funds were not invested according to their objectives and claims they did not understand the possibility of market fluctuation. The client demands to be made whole. (1/27/2025-4/6/2025)