Broker Investigation: Nina Jessee

Nina Jessee (CRD#: 1484808), previously employed at Cetera Advisors, LLC (Cetera) is no longer a registered broker or investment advisor. In November of 2017, she was terminated from Cetera after just 13 months with the firm for violating policy. The policy, not uncommon in most brokerage firms, requires Cetera brokers to give notice before pursuing outside business activity. Jessee did not disclose her intent to pursue outside business activity which resulted in her termination.

Jessee’s BrokerCheck record reveals that she received more than 20 customer complaints within the 31 years she worked as a broker. During this time period, she was employed at Investors Capital Corp, her past employer from 1993-2016, and Cetera, where she worked from 2016 -2017.

There are eight complaints still pending from 2018. Most complaints stem from Jessee’s unsuitable investments. But the allegations and requests for damages don’t stop there. A March 2018 complaint is requesting $400,000 in damages for alleged “suitability of certain investments made in 2006 and 2016.” Another claim in February of 2018 alleges unsuitable investments and concern over account privacy. And in January 2018, according to the customer dispute list on BrokerCheck, it was alleged that Jessee “misrepresented and over-concentrated previous investments,” this time requesting over  $370,000 in damages.

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