Last Updated: July 2025 – Van Nuys, CA
Here’s what you need to know about Van Nuys, CA, stockbroker Roger Nelson:
- Name: Mr. Roger Alan Nelson
- Current Employer: Wells Fargo Advisors / Wells Fargo Clearing Services, LLC
- CRD Number: 5527516
- Function: Stockbroker / Financial Advisor
- Previously Registered With:
- J.P. Morgan Securities LLC, Beverly Hills, CA (2012–2016)
- Chase Investment Services Corp., Studio City & Lake Charles (2008–2012)
- Can Roger Nelson be sued in FINRA arbitration? Yes
- Highest Settlement or Award: $7,520
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 Roger Nelson as Your Stockbroker?
In March 2025, a customer dispute was filed involving Roger Nelson while employed at Wells Fargo Advisors, LLC. The complaint alleges that Mr. Nelson failed to adequately explain that the investment—a Market Linked Certificate of Deposit (CD)—could fluctuate in value prior to maturity. The customer asserts they were not made aware of potential value reductions and disputes the suitability of the recommendation. The complaint was settled for $7,520 in 5/2025.
Allegations of Broker Misconduct Against Roger Nelson
The following misconduct has been alleged against Mr. Roger Nelson:
- Failure to disclose the risk of value fluctuation in a Market Linked Certificate of Deposit prior to maturity.
- Misrepresentation and/or omission of material investment risks.
Recover Your Investment Losses Now With Rex Securities Law
Investigations involving other Wells Fargo brokers
If you have suffered investment losses in an account handled by Roger Alan 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.