Last Updated: May 2025 – Rockwall, TX
Here’s what you need to know about Rockwall, Texas, stockbroker Walter Vincent Nelson:
- Name: Mr. Walter Vincent Nelson
- Current Employer: Cabin Securities, Inc., Intrinsic Capital Management
- DBA: Experience.com, Arno Wealth
- Prior Employers: Arete Wealth Advisors, Arete Wealth Management, Park Avenue Securities, Fidelity Brokerage Services, Edward Jones
- Function: Stockbroker / Financial Advisor
- Aliases: Vince Nelson
- Primary Location: Rockwall, Texas
- CRD Number: 2275929
- Can Vince Nelson be sued in FINRA arbitration? Yes
- Sanctioned by FINRA: No
- Terminated by a prior employer: Yes
If you’ve sustained damages from Mr. Nelson, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Walter “Vince” Nelson As Your Stockbroker?
Walter Nelson voluntarily resigned from Arete Wealth Management on April 1, 2025, five minutes before a scheduled mandatory compliance interview. The firm had been actively investigating him for potentially soliciting clients to obtain lines of credit for the purpose of investing in securities—raising concerns of improper leverage and inconsistent representations about how many clients employed such strategies which involved penny stocks.
The firm’s allegations may reflect potential violations of FINRA Rule 2111 (Suitability), which requires brokers to have a reasonable basis for investment recommendations including the use of margin or credit strategies, and FINRA Rule 2010, which mandates high standards of commercial honor.
Penny Stocks: According to Wikipedia :
Penny stocks are common shares of small public companies that trade for less than five dollars per share.[1] The U.S. Securities and Exchange Commission (SEC) uses the term “penny stock” to refer to a security, a financial instrument which represents a given financial value, issued by small public companies that trade at less than $5 per share. The term “penny stock” refers to shares that, prior to the SEC’s classification, traded for “pennies on the dollar”. In 1934, when the United States government passed the Securities Exchange Act to regulate any and all transactions of securities between parties which are “not the original issuer”,[2] the SEC at the time disclosed that equity securities which trade for less than $5 per share could not be listed on any national stock exchange or index.
Allegations of Broker Misconduct Against Walter Nelson
A prior brokerage firm employing Nelson has raised the following concerns:
Investigating Nelson for potential violations of securities rules and regulations
Recover Your Investment Losses Now With Rex Securities Law
Investigations of other Arete Wealth Management Brokers
If you have suffered investment losses in an account handled by Walter Vincent Nelson, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.