RedFlag, Allegation and/or Complaint against DIANE P. NELSON
Disclosure #1 for DIANE NELSON
- Event Date: 3/6/2008
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Initiated By: FLORIDA DEPARTMENT OF FINANCIAL SERVICES
- Allegations: THE DEPARTMENT ALLEGES THAT THE REGISTRANT HAD NOT COMPLIED WITH THE STATE’S INSURANCE LICENSE CONTINUING EDUCATION REQUIREMENTS REQUIRED BY SECTION 626.2815 OF THE FLORIDA STATUTES AND RULE 69B-228.220, FLORIDA ADMINISTRATIVE CODE, FOR THE COMPLIANCE PERIOD ENDING DECEMBER 31, 2007.
- Resolution: Stipulation and Consent
- Sanction Details :: Sanctions: Monetary/Fine
- Sanction Details :: Amount: $250.00
- Sanctions: REGISTRANT MUST EARN THE NECESSARY HOURS TO FULFILL CONTINUING EDUCATION REQUIREMENT WITHIN 120 DAYS OF ISSUANCE OF THE CONSENT ORDER.
- Sanction Details: CONTINUING EDUCATION REQUIREMENTS HAVE BEEN MET AS OF THE DATE OF THIS FILING AND THE FINE WAS PAID ON MARCH 11, 2008.
- Broker Comment: THIS SANCTION WAS A RESULT OF AN ADMINISTRATIVE OVERSIGHT RELATING TO ELIGIBLE COURSES REQUIRED AND HOURS NEEDED FOR COMPLETION. I COMPLETED THE REQUIRED CONTINUING EDUCATION REQUIREMENTS IMMEDIATELY UPON BEING NOTIFIED AND STEPS HAVE BEEN TAKEN TO PREVENT THIS FROM HAPPENING AGAIN.
Should I file a FINRA complaint against brokers like DIANE P. NELSON?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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Originally reported on November 17, 2022 @ 9:00 pm