Nina Jessee, formerly with Cetera Advisors and Investors Capital Corp., Barred from Securities Industry

Have you lost money with financial advisor Nina Jessee of Abingdon, Virginia?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Nina Sue Jessee. FINRA barred Jessee from the securities industry after she failed to respond to a FINRA investigation.  FINRA was investigating Jessee after she had been named in over 20 customer complaints, many making allegations regarding alternative investments and REITs (real estate investment trusts).

Nina Jessee was a financial advisor and registered representative of Cetera Advisors from October 2016 to November 2017.  She was also previously affiliated with Investors Capital Corp. from 1993 to October 2016.  She worked at a branch office in Abingdon, Virginia.  Jessee has been the subject of 23 customer complaints.

Brokerage firms like Cetera Advisors have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Virginia. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Cetera Advisors.

Click to view:  Jessee, Nina Sue BrokerCheck

Click to view:  Jessee, Nina FINRA AWC

If you lost money with Nina Jessee or Cetera Advisors, please CONTACT US at 720-599-3505 for a free evaluation of your case.