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INVESTOR ALERT! Jason Nelson in Tremonton, UT is BARRED

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07
Jun

INVESTOR ALERT! Jason Nelson in Tremonton, UT is BARRED

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INVESTOR ALERT!  Jason Nelson in Tremonton, UT is BARRED

Jason R. Nelson, formerly with LPL Financial, Barred from Securities Industry

 

Have you lost money with financial advisor Jason Nelson of Tremonton, Utah?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jason Reed Nelson. FINRA barred Nelson from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Nelson for allegations that he misrepresented customer information to his former brokerage firm, LPL Financial, in connection with fixed and variable annuity purchases.

 

Jason Nelson was a financial advisor and registered representative of LPL Financial from January 2013 to January 2018.  He worked at a branch office in Tremonton, Utah.  Nelson is also affiliated with JRN Financial.

 

Brokerage firms like LPL Financial have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Utah. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial.

 

Click to view:  Nelson, Jason BrokerCheck

Click to view:  Nelson, Jason FINRA AWC

 

If you lost money with Jason Nelson or LPL Financial, please CONTACT US at 720-599-3505 for a free evaluation of your case.

 

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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