The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Christopher Joseph Nelson (CRD#: 6674139, Brandon, South Dakota). Evidently, Nelson worked as a securities broker or financial advisor for Wynston Hill Capital from 2018 to 2019. Here is a brief summary of the disclosures involving allegations of Nelson’s falsification of records and unsuitable trading, and what you could do if you experienced damages from improper sales practices.
The regulator sanctioned Christopher Nelson in April 2021. Nelson received a suspension of four months (April 5, 2021, to August 4, 2021) and a fine of $5,000 to resolve allegations of his falsifying of records concerning securities transactions. Supposedly, he entered trades in his name when a different securities broker recommended transactions. And the person who recommended the transactions was not registered in the location where clients resided. For this reason, FINRA contends that the securities broker violated FINRA rules.
Evidently, a client of Wynston Hill Capital contested Christopher Nelson’s sales practices by making an investment dispute in August 2019. The investor’s dispute against the securities firm alleges unsuitable trading, overconcentration, unauthorized trading, and failure to supervise. Supposedly, Nelson caused the client to incur damages via his actions relating to stock trades and options trades. For this reason, the client asked that the securities firm pay $314,852 in damages to resolve the client’s allegations.
Did you suffer losses because of securities broker Christopher Nelson? You can get in touch with Soreide Law Group at (888) 760-6552 to chat with a helpful securities lawyer about a possible recovery of your losses. We take cases on a contingency fee basis and advance all costs. The firm has recovered considerable compensation for hundreds of United States investors who have sustained damages from securities brokers and financial advisors. Please note that Nelson denies all allegations of sales practice violations.
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