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James Nelson Subject of a Tax Lien and a Pending Investor Dispute

Sep 24, 2021 Financial Disclosure

James Nelson (CRD #: 1365220), a broker registered with International Assets Advisory, is facing a new tax lien, according to his BrokerCheck record, accessed on September 16, 2021. There are more disclosures on his record – investors who have concerns about their investments should keep reading.

On July 16, 2021, James Nelson became the subject of a tax lien for $17,746.30. There are more liens on his record:

  • On April 5, 2017, James Nelson became the subject of a civil lien for $16,551.39
  • On March 24, 2016, Nelson received a tax lien for $11,763.67

Regulatory Action

There is also a regulatory action on James Nelson’s record. On May 24, 2017, James Nelson entered into the Acceptance, Waiver, and Consent agreement (AWC) in which he consented to the findings that he executed 20 trades in 20 customers’ individualized retirement accounts without authorization.

James Nelson consented to a $5,000 fine and a 60-day suspension as part of the AWC. You can read a copy of the AWC here.

Investor Dispute

There is a pending investor dispute on his record. On January 5, 2016, an investor alleged that James Nelson gave poor investment advice and executed unauthorized trades.

James Nelson Background Information

James Nelson has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination
  • Series 22 Direct Participation Programs Representative Examination
  • Series 6 Investment Company Products/ Variable Contracts Representative Examination
  • Series 24 General Securities Principal Examination

He is a registered broker in three states and is a registered investment adviser in Pennsylvania.

James Nelson has worked with the following firms:

  • International Assets Advisory (CRD #: 10645)
  • International Assets Investment Management (CRD #: 144426)
  • LPL Financial (CRD #: 6413)
  • WS Griffith Securities (CRD #: 10410)
  • Phoenix Equity Planning Corporation (CRD #: 3036)

Kurta Law Can Help

If you worked with James Nelson and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email