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Brian Nelson is the Subject of a Mutual Fund Dispute

Brian Nelson (CRD #: 5779195), a broker registered with PFS Investments, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on August 23, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On June 14, 2024, an investor alleged that Brian Nelson added his own bank account to and withdrew friends from his customer’s mutual fund account without the customer’s knowledge or consent. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Misappropriation and unauthorized withdrawals violate this rule. 

Background Information 

Brian Nelson has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 6 Investment Company Products/ Variable Contracts Representative Examination
  • Series 26 Investment Company Products / Variable Contracts Principal Examination 

He is a registered broker in 10 states. 

Kurta Law Can Help 

If you worked with Brian Nelson and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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