Finra bars former LPL rep for non-cooperation

Finra bars former LPL rep for non-cooperation
Jason Nelson refused to take part in annuity sale inquiry.
JUN 07, 2019

The Financial Industry Regulatory Authority Inc. has barred Jason Nelson, formerly a registered representative affiliated with LPL Financial, for declining to take part in an inquiry into his sales practices. (More:​ Finra bars former LPL rep over no-show at hearing.) Mr. Nelson was terminated by LPL in January 2018 for "misrepresenting customer financial information to the firm in connection with annuity purchases," Finra said in a letter of acceptance, waiver and consent. He had been with LPL for five years, and began his career at Edward Jones in 2004.

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