Travis Nelson, Formerly of Charles Schwab, Suspended Over Allegations of Forging Client Signatures

Nelson was also accused of providing false statements to FINRA in response to their investigation into Nelson’s misconduct.

The Sonn Law Group is investigating allegations that Travis Nelson forged client signatures. If you or a family member has suffered losses investing, we want to discuss your case. Please contact us today for a free review of your case.

travis-nelson-forging-client-signaturesTravis Nelson (CRD#: 6018906) was previously registered as a broker with Charles Schwab in New York City, where he had been employed since June 2012. Nelson was recently suspended by FINRA for a period of nineteen months and fined $10,000. 

FINRA’s findings stated that Nelson signed a customer’s signature without the customer’s authorization on a letter he drafted to request an increased fund transfer limit for the customer in an attempt to effect higher value transfers requested by the customer.

The findings also stated that in the course of FINRA’s investigation regarding Nelson’s alleged signing of the customer’s signature, Nelson provided false statements regarding his conduct in responses to FINRA requests. Nelson subsequently recanted his false statements in a declaration provided to FINRA.

Nelson has one other disclosure on his BrokerCheck report.

May 2019 Employment Separation After Allegations

Contact Us Today

The Sonn Law Group is currently investigating allegations that Travis Nelson forged a client’s signature. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.