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Gary Nelson Allegedly Misrepresented an Investment 

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
August 1, 2023 at 5:03pm

Gary Nelson (CRD #: 865672), a broker registered with MML Investors Services, is facing an investor dispute, according to his BrokerCheck record, accessed on July 27, 2023. Details of the dispute are provided below. 

On May 13, 2023, an investor alleged that Gary Nelson misrepresented an indexed-linked annuity. Misrepresentation violates FINRA Rule 2020. 

FINRA Rule 2020

FINRA Rule 2020 prohibits the misrepresentation of investments and the omission of material facts. Material facts include information about an investment’s potential returns, as well as charges, expenses and fees.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Misrepresentation also violates FINRA Rule 2010. 

Background Information 

Gary Nelson has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 24 General Securities Principal Examination 

He is a registered broker in Connecticut and New York. 

Gary Nelson has registered with the following firms: 

  • De Laureal, Munroe Securities Corporation (CRD #: 7276) 
  • Alpine/ Continental Service Corporation (CRD #: 17941) 
  • Eve Securities Corporation (CRD #: 19236) 
  • Norwich Securities Corporation (CRD #: 16601) 
  • Professional Brokerage Services (CRD #: 5823) 
  • Swanton Securities (CRD #: 5823) 
  • Energy Center Securities (CRD #: 8151) 
  • University Securities Corporation (CRD #: 6518) 

Kurta Law Can Help

If you worked with Gary Nelson and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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.

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