Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger 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 March 31, 2025.
The client complains that the Financial Advisor did not explain that their investment in a Market Linked Certificate of Deposit could fluctuate in value prior to maturity date. (2/27/25-3/31/25)