Last Updated: April 2025, Boerne, TX
Matthew Nelson Investigation Summary
Here’s what you need to know about Boerne, TX, stockbroker Matthew Nelson:
- Name: Matthew Keith Nelson
- Current Employer: Registered investment advisor with Prime Capital Financial, Not currently registered as a broker with FINRA
- DBA:PCRM-Prime Capital Risk Management
- Prior Employers: Cambridge Investment Research, Inc., The O.N. Equity Sales Company
- Function: Stockbroker / Registered Investment Advisor
- Aliases: Matthew Nelson
- Primary Location: Boerne, TX
- CRD: 4050793
- Can Matthew Nelson be sued in FINRA arbitration: Yes
- Sanctioned by Securities Regulator: Yes
- Highest Settlement or Award:$330,000
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 Matthew Nelson As Your Stockbroker?
A dispute brought by a customer of Cambridge Investment Research involving Matthew Nelson was settled for $330,000 in June 2022. The claim alleged that Nelson sold customers multiple alternative investments based on material misrepresentations and omissions, resulting in over-concentration in high-risk, high-commission, and speculative alternative investments.
See this for more information on REITs and Other Alternative Investments
Alternative Investments: These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk. For more investigations involving Alternative Investments, see this.
Investigations involving Over-Concentration
In 2013 the State of Florida Office of Financial Regulation issued a notice of intent to deny registration which prohibited Nelson from acting as a broker in that state. According to the allegations made by the State, Nelson made a false statement on his application for registration.
Allegations of Broker Misconduct Against Matthew Nelson
Customers and regulatory authorities have alleged the following wrongdoing in connection with Matthew Nelson:
- Making material false statements on registration applications (Regulatory Action by Florida Office of Financial Regulation; Finalized on April 22, 2013)
- Misrepresentation and omissions related to alternative investments, leading to significant customer financial losses
FINRA Rule 2020, prohibiting brokers from employing manipulative, deceptive, or fraudulent devices, may apply to allegations regarding material misrepresentations and omissions.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. Additionally, brokers are required to disclose certain financial matters such as personal bankruptcies, judgments, and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Matthew 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.