Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Nelson (Nelson), currently associated with LPL Financial 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 with a damage request of $900,000.00 on April 08, 2024.
Customer’s estate alleged that representative should not have effected certain transfers and sales of assets authorized pursuant to a power of attorney granted by customer and subsequently pursuant to instructions from the trustee of customer’s trust. The activities took place between September 2022 and January 2023.