Nelson Michael Polun, of Bel Air, Maryland, a stockbroker currently registered with Wells Fargo Clearing Services, LLC, has been named in a customer initiated investment related written complaint, which settled for $4,546.96 in damages on March 13, 2017, based upon allegations that Polun made misrepresentations to the customer concerning preferred stock investments, and omitted that advisory fees would be charged in the customer’s account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on March 13, 2000, a customer filed an investment related written complaint involving Polun’s conduct, in which the customer requested $70,000.00 in damages based upon allegations that Polun, while associated with Merrill Lynch, mismanaged the customer’s investment account. Further, on August 30, 2002, a customer initiated investment related arbitration claim regarding Polun’s activities was resolved for $18,000.00 in damages based upon allegations that Polun, while registered with Prudential Services Incorporated, effected unauthorized stock transactions in the customer’s investment account.
Guiliano Law Group
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