Finra bars former LPL rep for non-cooperation

Jason Nelson refused to take part in annuity sale inquiry

Jun 7, 2019 @ 1:34 pm

By InvestmentNews

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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