KELLY JOHN NELSON is currently employed as a Broker and/or Investment Adviser at FIRST FINANCIAL EQUITY CORPORATION located at 550 N. 31ST STREET, SUITE 500, BILLINGS, MT, 59101.
KELLY JOHN NELSON has worked at FIRST FINANCIAL EQUITY CORPORATION since June 27, 2012
Disclosure History
KELLY JOHN NELSON has 4 Disclosure Event(s).
Date: December 03, 2012 Category: Customer Dispute Allegations: CLAIMANT ALLEGES BROKER LEFT LARGE CASH VALUES IN ACCOUNTS, FAILING TO EARN INCOME AND FALLING BEHIND INFLATION, IN PERIOD 2006-2011. Damage Amount Requested: $300,000.00 Settlement Amount: $12,000.00
Date: October 31, 2012 Category: Regulatory
Date: October 24, 2012 Category: Customer Dispute Allegations: CUSTOMER'S ATTORNEY ASSERTS THAT THE CLIENT'S ACCOUNTS WERE ACTIVELY MANAGED WITH AN IN AND OUT METHOD, GENERATING EXCESSIVE COMMISSIONS. IN ADDITION, CLIENT SUFFERED LOSSES. Damage Amount Requested: $332,000.00 Settlement Amount: $110,713.93
Date: August 14, 2012 Category: Customer Dispute Allegations: THROUGH HER ATTORNEY, CLAIMANT ALLEGES NEGLIGENCE, BREACH OF FIDUCIARY DUTY UNAUTHORIZED TRADING, BREACH OF CONTRACT, FAILURE TO SUPERVISE, VIOLATIONS OF THE MONTANA SECURITIES LAW. Damage Amount Requested: $52,000.00 Settlement Amount: $35,726.00
More Information
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