Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 1, 2016 indicate that former California-based UBS Financial Services broker Kimberly Nelson is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Nelson (CRD# 4893245).
Kimberly Nelson has spent eleven years in the securities industry and was most recently registered with UBS Financial Services in Century City, California (2011-2016). Previous registrations include Oppenheimer & Company in Los Angeles, California (2005-2011) and Morgan Stanley DW in Purchase, New York (2005). She is currently not registered with any state or firm.
According to her BrokerCheck report, Kimberly Nelson is the subject of a pending customer complaint. She was also recently discharged from her position at UBS Financial Services in Century City, California.
In August 2016 Kimberly Nelson was terminated from UBS Financial Services “after a review found that she violated Firm policies by (i) assisting in the creation of and sending clients unapproved customized performance reports contrary to management’s instructions; and (ii) sending a prohibited client email.”
In August 2016 a customer alleged Kimberly Nelson, while employed at UBS Financial Services, failed to follow instructions to purchase certain investments. The customer is seeking unspecified damages in the pending complaint.
If you have complaints regarding Kimberly Nelson, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on a contingency basis: we only receive payment if and when you recover money. By law, you may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.