The Financial Industry Regulatory Authority, Inc. (FINRA) has barred NINA SUE JESSEE (NINA JESSEE, NINA CAMPBELL JESSEE) CRD#: 1484808 from acting as a broker or otherwise associating with a broker-dealer firm. Jessee, resigned from Cetera Advisors of Abingdon, Virginia in November of 2017 following allegations of unauthorized outside business activity.
According to FINRA, on June 11, 2019, without admitting or denying the findings, Nina Jessee consented to the sanction and to the entry of findings that she allegedly failed to appear for FINRA on-the-record testimony requested in connection with FINRA's investigation of client complaints related to alternative investments and allegations that Nina Jesse failed to disclose an outside business activity.
According to FINRA’s BrokerCheck, NINA JESSEE has 25 Disclosures on her record over a 31-year career. Of the 25 Disclosures, 23 are Customer Disputes. Several of the complaints sight “suitability.” The significance of Jessee’s FINRA Customer Disputes is underscored in FINRA NOTICE to MEMBERS 03-49. In 2003, FINRA conducted a review of the CRD’s of all 663,000 registered representatives, only 2,751 (.41%) had been the subject of (3) or more customer complaints. Jessee’s Customer Disputes, rank her in the top one-hundredth percent of all registered representatives for customer complaints.
NINA JESSEE worked with Cetera in Abingdon, Virgiana for a little over a year. She spent 23 years with Investors Capital Corp in Abingdon, Virginia.
10/03/2016 - 11/29/2017 CETERA ADVISORS LLC - ABINGDON, VA
02/17/1993 - 10/03/2016 INVESTORS CAPITAL CORP - ABINGDON, VA
If you’ve experienced losses due to the actions or recommendations of former Cetera Advisors, and Investors Capital broker, NINA JESSEE of Abingdon, Virginia, contact Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis.
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