{"id":7227,"date":"2019-06-11T13:57:11","date_gmt":"2019-06-11T18:57:11","guid":{"rendered":"https:\/\/www.investorlawyers.com\/?p=7227"},"modified":"2022-05-17T14:27:29","modified_gmt":"2022-05-17T19:27:29","slug":"ex-lpl-broker-misrepresentation-allegations","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/ex-lpl-broker-misrepresentation-allegations\/","title":{"rendered":"Another Ex-LPL Broker Barred Following Misrepresentation Allegations"},"content":{"rendered":"

\t\t\t\tJason Nelson, an ex-LPL Financial broker (LPLA),<\/a> is now barred by the Financial Industry Regulatory Authority (FINRA)<\/a>. The bar comes after Nelson refused to participate in the self-regulatory organization\u2019s (SRO) probe into his sales activities.<\/p>\n

LPL fired Nelson early last year after finding that he misrepresented customer financial information related to annuity sales. Without denying or admitting to FINRA\u2019s findings, Nelson consented to the entry of findings and the bar.\u00a0He worked nearly 14 years as a formerly registered broker. Previous to working with LPL Financial, Nelson was an Edward Jones broker.<\/p>\n

It was just last month that FINRA permanently barred ex-LPL Financial broker Philip John Nalesnik, whom the broker-dealer also fired last year.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Jason Nelson, an ex-LPL Financial broker (LPLA), is now barred by the Financial Industry Regulatory Authority (FINRA). The bar comes after Nelson refused to participate in the self-regulatory organization\u2019s (SRO) probe into his sales activities. LPL fired Nelson early last year after finding that he misrepresented customer financial information related to annuity sales. Without denying […]<\/p>\n","protected":false},"author":2,"featured_media":6607,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3773,3783,3752,3739,4049],"tags":[3727,3067],"class_list":["post-7227","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-broker-fraud","category-broker-misconduct","category-financial-firms","category-finra","category-industry-bars","tag-jason-nelson","tag-lpl-financial"],"yoast_head":"\nAnother Ex-LPL Broker Barred Following Misrepresentation Allegations — Investor Lawyers Blog — June 11, 2019<\/title>\n<meta name=\"description\" content=\"Jason Nelson, an ex-LPL Financial broker (LPLA), is now barred by FINRA after Nelson refused to participate in the probe into his sales activities.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, 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