National investment loss lawyers KlaymanToskes is investigating broker Vince Nelson a/k/a Walter Vincent Nelson (CRD# 2275929) formerly of Arete Wealth Management.
According to FINRA BrokerCheck, broker Vince Nelson a/k/a Walter Vincent Nelson has resigned from Arete Wealth Management, following allegations that the firm was actively investigating the Representative for potential violations of securities rules and regulations and firm procedures. These allegations include advocating and potentially soliciting clients to obtain lines of credit to invest in securities and giving shifting explanations as to how many clients employed this strategy. While under investigation, the Representative allegedly quit five minutes before a scheduled mandatory compliance interview.
Investors that suffered losses with broker Vince Nelson are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Financial advisor Vince Nelson, formerly of Arete Wealth Management, has reportedly resigned from the firm. According to allegations disclosed on Nelson’s FINRA BrokerCheck report, Nelson resigned from Arete Wealth Management while under internal investigation by Arete.
The allegations involve potential violations of securities regulations and firm policies, including advocating and potentially soliciting clients to obtain lines of credit for the purpose of investing in securities, providing inconsistent explanations to the firm regarding how many clients engaged in this strategy, and resigning five minutes before a mandatory compliance interview scheduled by the firm. Nelson was registered as a broker with Arete Wealth Management and Arete Wealth Advisors from July 2020 to May 2025 in Chicago, IL and Rockwall, TX.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Vince Nelson, or have concerns regarding your investment portfolio at Arete Wealth Management, or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.