Mr. Nelson is a partner in the firm’s Securities Litigation practice group. His practice is concentrated in the area of securities litigation, securities arbitration and regulatory defense. Mr. Nelson represents broker-dealers, registered investment advisors and individual securities professionals. Mr. Nelson has been involved in more than four hundred arbitration proceedings, as counsel and as an arbitrator, before FINRA, NASD and AAA. Mr. Nelson has represented clients in injunctive cases in various courts involving non-competition and non-solicitation agreements. He has represented clients in investigation and enforcement actions before the SEC, FINRA and various state regulators. Mr. Nelson also represents businesses and employers in employment matters including defending and enforcing restrictive covenants, wrongful termination issues, discrimination issues and handling matters before the EEOC and its state counterparts.
Mr. Nelson spent six years as Associate General Counsel to a New York Stock Exchange member firm where he had both legal and business responsibilities. He held various securities licenses including registered representative, general securities principal and branch office manager. Mr. Nelson has also acted as an expert witness in securities arbitration matters.
Mr. Nelson also serves as a mediator and arbitrator primarily in securities disputes.
- Author, “Has the Protocol for Broker Recruiting Become the de facto Industry Standard?,” RJ&L Securities Industry Update, Summer 2009
- Author, “Variable Annuities: New Rule Coming!” RJ&L Securities Industry Update, Fall 2006
- Lewis Roca Rothgerber Christie LLP (legacy firm Rothgerber Johnson & Lyons LLP), 1999-Present
- Slivka Robinson Waters & O'Dorisio, P.C., Shareholder, 1991-1999
- Kemper Securities, Inc., Associate General Counsel, 1990-1991
- Boettcher & Company, Inc., Associate General Counsel, 1985-1990
- Moye Giles O'Keefe Vermeire & Gorrell, P.C., Associate, 1982-1985
- United States Tenth Circuit Court of Appeals, Law Clerk to the Honorable Jean S. Breitenstein, 1981-1982