Nina Sue Jessee, of Abingdon, Virginia, a stockbroker formerly registered with Investors Capital Corp., has been named in a customer initiated investment related arbitration claim on February 3, 2017, based upon allegations that Jessee effected unsuitable transactions in the customer’s account regarding investments in real estate, insurance, and equipment leasing products.

Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Jessee has been identified in eleven additional customer initiated investment related disputes containing allegations of Jessee’s misconduct while employed with Investors Capital Corp. Particularly, on October 28, 2002, a customer filed an investment related written complaint involving Jessee’s conduct, in which the customer requested $66,000.00 in damages based upon allegations that Jessee effected unauthorized over-the-counter equity trades in the customer’s account.

From September 21, 2010, to September 1, 2016, Jessee was named in ten customer initiated investment related disputes regarding his activities, in which customers alleged, inter alia, that Jessee made misrepresentations and unsuitable investment recommendations to the customers in reference to their investments in a Behringer Harvard Real Estate Investment Trust. Four of the ten customer disputes have been settled for a total of $225,000.00 in damages.

Jessee’s registration with Investors Capital Corp. was terminated on October 3, 2016. Since then, Jessee has been registered with Cetera Advisors LLC.

Guiliano Law Group

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