DID Tara Nelsen CAUSE YOU INVESTMENT LOSSES?
About Tara Nelsen of Charles Schwab & Co., Inc.?
Tara Nelsen (CRD #4362636) is currently employed by and registered with Charles Schwab & Co., Inc. in Phoenix, Arizona, where she has been since October 13, 2014. Nelsen has a comprehensive background in the securities industry, having previously worked with KBD Securities, LLC from April 2011 to December 2013 and Fidelity Brokerage Services LLC from May 2001 to April 2009. She has passed two principal/supervisory exams, two general industry/product exams, and two multi-state securities law exams. Nelsen is licensed in 51 U.S. states and territories, highlighting her extensive qualifications and broad regulatory compliance.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Tara Nelsen Customer Complaints and Reviews
Tara Nelsen has one reported disclosure event:
- Customer Dispute (Closed-No Action): On January 16, 2019, a customer dispute was filed alleging failure to follow instructions regarding the exercise of warrants on August 29, 2017. The customer claimed damages of $1,600,000. The dispute was resolved with an arbitration award of $54,680 to the claimant on May 1, 2023. Nelsen did not contribute financially to the settlement.
Allegations Against Tara Nelsen
- Failure to Follow Instructions: The customer alleged that Nelsen failed to execute the instructions for exercising warrants on specified terms. The client claimed significant financial loss due to the alleged mishandling. The complaint was escalated to arbitration, which concluded with an award to the claimant, although no personal financial responsibility was attributed to Nelsen in the settlement
Tara Nelsen Red Flags & Your Rights As An Investor
Of course, Tara Nelsen did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Tara Nelsen at Charles Schwab & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Tara Nelsen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co., Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Charles Schwab & Co., Inc. Due To Tara Nelsen
If you have questions about Charles Schwab & Co., Inc. and/or Tara Nelsen and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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