Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Brian Jensen Nelson [CRD#: 5065593, Mission Viejo, California]. Nelson is registered with Emerson Equity LLC and has worked there since December 2, 2013. His professional history spans seven firms over 18 years.
Recent disclosures reveal concerns about Nelson’s conduct, including multiple pending arbitration claims alleging negligence, breach of fiduciary duty, and violations of securities laws.
On April 17, 2023, a client of Emerson Equity LLC filed an arbitration claim with FINRA, alleging violations of law, breach of fiduciary duty, and negligence. The claim pertains to investments in real estate securities and includes allegations of financial losses between $100,000 and $300,000.
This matter is currently pending resolution. Nelson states that the claims were directed at the firm and not at him personally.
On July 3, 2024, another arbitration claim was filed against Emerson Equity LLC. The allegations include breach of fiduciary duty, violations of FINRA rules and regulations, breach of contract, negligent supervision, and elder abuse.
This arbitration is currently pending, with no resolution as of now.
On May 7, 2024, a client filed a FINRA arbitration claim against Emerson Equity LLC, alleging violations of federal and California securities laws, bad business practices, breach of fiduciary duty, negligence, and gross negligence. This case involves real estate securities.
This matter remains pending and unresolved.
If so, reach out to Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney. Soreide Law Group takes cases on contingency, advances all necessary costs, and helps investors nationwide recover losses from sales practice misconduct, though outcomes may vary. Nelson and the firms he worked for deny accusations of sales practice violations.
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