Tag Archives: James Anthony Nelson

LPL Financial Stockbroker Suspended For Unauthorized Trading

May 30, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

James Anthony Nelson, of Evans City, Pennsylvania, a stockbroker formerly registered with LPL Financial LLC, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he effected unauthorized transactions in customers’ accounts. Letter of Acceptance, Waiver and Consent, No. 2016050825301 (May […]

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LPL Financial Sued By Customer For Suitability

James Anthony Nelson, of Evans City, Pennsylvania, a stockbroker formerly registered with LPL Financial, LLC, has been named in a customer initiated investment related written complaint on June 6, 2016, in which the customer requested more than $5,000.00 in damages based upon allegations that Nelson, from 2014 to 2016, made misrepresentations to the customer concerning […]

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