Brian Jensen Nelson, of Mission Viejo, California, a stockbroker registered with Emerson Equity LLC, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested compensatory damages based upon allegations that Nelson breached a contract, committed fraud, breached his fiduciary duties, and made the unsuitable investment recommendation of real estate securities when Nelson was associated with Emerson Equity LLC. FINRA Arbitration No. 24-01796 (August 23, 2024).
FINRA Public Disclosure shows that Nelson was referenced in four other customer initiated investment related disputes concerning Nelson’s conduct while associated with securities broker dealers. On March 19, 2013, a customer initiated investment related FINRA securities arbitration claim involving Nelson’s conduct was settled for $45,000.00 in damages based upon allegations that Nelson failed to perform due diligence and made misrepresentations of material facts in connection with the sale of real estate securities during the time that Nelson was associated with White Pacific Securities. FINRA Arbitration No. 10-03964.
On May 7, 2024, a different customer filed an investment related FINRA securities arbitration claim involving Nelson’s conduct in which the customer requested compensatory damages based upon allegations that Nelson was negligent, breached his fiduciary duties, committed fraud, breached a contract, and violated federal and state securities laws when Nelson was associated with Emerson Equity LLC. FINRA Arbitration No. 24-00898.
Nelson was also referenced in a FINRA securities arbitration claim in which the customer requested $500,000.00 in damages based upon allegations that Nelson committed elder abuse, violated securities laws, negligently supervised certain representatives, was negligent, breached a contract, violated FINRA rules and regulations, and breached his fiduciary duties during the time that Nelson was associated with Emerson Equity LLC. FINRA Arbitration No. 24-01428 (July 3, 2024).
On April 17, 2023, another customer filed an investment related FINRA securities arbitration claim involving Nelson’s conduct, in which the customer requested $300,000.00 in damages based upon allegations that Nelson was negligent, breached his fiduciary duties, and committed fraud. FINRA Arbitration No. 22-02905.
Nelson has been associated with Emerson Equity LLC in Mission Viejo, California, since December 2, 2013.
