Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Nelson (Nelson), currently associated with Private Client 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 settled customer complaint with a damage request of $150,000.00 on December 04, 2020.
The customer alleges 3 investments recommended by the representative were unsuitable for his needs. The 3 investment products were purchased between October 2014 through August 2015.