DID TARA NELSEN CAUSE YOU INVESTMENT LOSSES?
Tara Nelsen Of Charles Schwab Has A Customer Complaint For Alleged Broker Misconduct
Who is Tara Nelsen of Charles Schwab?
Tara Nelsen (CRD #4362636) who is currently registered with Charles Schwab and located in Phoenix, Arizona is a subject of one of our many securities industry sales practice abuse investigations.
Tara Nelsen Customer Complaint
Tara Nelsen has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were failure to follow instructions. Specifically, Claimant alleged he provided instructions to exercise the following warrants; 20,000 JP Morgan Chase, 80,000 PNC Financial Services, 30,000 Comerica Inc. and requested the companies use the closing stock prices to determine shares to be received on the exercise. Claimant alleged Schwab should not have exercised the warrants absent its ability to do so pursuant to the parameters he had set. The customer complaint filed against Tara Nelsen’s current employer Charles Schwab for investment losses caused by the alleged misconduct is pending as of the date of this report.
Tara Nelsen Red Flags & Your Rights As An Investor
Of course, Tara Nelsen did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Tara Nelsen at Charles Schwab on alert to review carefully the activity and performance of their accounts and question whether Tara Nelsen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At Charles Schwab Due To Tara Nelsen
If you have questions about Charles Schwab and/or Tara Nelsen and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.