DID JOHN RICHARD NELSON CAUSE YOU INVESTMENT LOSSES?
John Nelson was fired from Wells Fargo Clearing Services, LLC in October 2024 under allegations of failing to follow firm compliance practices.
Who is John Nelson formerly with Wells Fargo Clearing Services, LLC?
John Nelson (CRD #1084135) who was formerly registered as a broker with Wells Fargo Clearing Services, LLC and located in Corpus Christi, Texas, is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
John Nelson Employment History and Termination
John Richard Nelson has an extensive career in the securities industry, spanning over four decades. Nelson was previously employed as a registered broker with Wells Fargo Clearing Services, LLC (1998–2024). Prior registrations were with, Principal Financial Securities, Inc. (1987–1998), and Rotan Mosle Inc. (1983–1987). He is currently registered with Independent Financial Group, LLC, as of December 20, 2024.
He has passed three industry exams, including Series 7 and Series 63, and is currently
Mr. Nelson was discharged from Wells Fargo in October 2024. The report alleges that he failed to reconfirm a client trade, accepting trading instructions from unauthorized third parties, and utilizing off-channel communication systems for conducting business.
Negative Disclosures Summary
John Richard Nelson has one termination disclosure on record:
- Firm: Wells Fargo Clearing Services, LLC
- Date: October 30, 2024
- Allegations: Failed to reconfirm a client trade, accepted unauthorized instructions, and used unauthorized communication channels.
John Nelson Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of John Nelson is a red flag which should put all current and former customers of John Nelson with Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether John Nelson engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC 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 Wells Fargo Clearing Services, LLC Due To John Nelson
If you have questions about Wells Fargo Clearing Services, LLC and/or John Nelson 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.
Rate this Post
Loading...