Articles Tagged with Brian Nelson

Broker Brian Nelson in PFS Investments INC. Firm Has Customer Complaint

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Nelson (Nelson), currently associated with PFS Investments INC., 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 June 14, 2024.

The customer alleged that the RR added his own bank account to and withdrew funds from the customer’s mutual fund account without the customer’s knowledge/consent.

There are Recent Customer Complaints with Broker Brian Nelson in Firm Emerson Equity LLC

April 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Nelson (Nelson), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 3 customer complaints, 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 August 24, 2024.

Unsuitable, breach of fiduciary duty, common law fraud, breach of contract

Dark mode

Type here

Liveadmins