Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers is actively conducting an independent investigation into Javier Adolfo Naselli (CRD 2425401), a registered broker with Creand Securities. If you are an individual investor with concerns about losses, unsuitable recommendations, or questionable transactions involving Javier Naselli in Miami, Florida, or any state where he has practiced, this report is an essential resource for mapping your next steps and understanding your rights.
With our 98% success rate in hundreds of investor claims, 95+ years of combined securities law experience, and more than $520 million in client matters, our attorneys are uniquely equipped to expose practices that undermine investor trust. We leverage our insider knowledge as former Wall Street defense lawyers to fight for victims of broker misconduct—beginning with a diligent, forensic review of every detail.
Who Is Javier Adolfo Naselli?
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Javier Adolfo Naselli is currently registered with Creand Securities and maintains an active license in Florida and additional states. Since 2014, he has worked at several major broker-dealer firms:
- Creand Securities (2021–present)
- Credit Suisse Securities (USA) LLC (2018–2021)
- UBS Financial Services Inc. (2016–2018)
- Morgan Stanley DW Inc. (through 2016)
According to FINRA BrokerCheck, Javier Naselli has passed the SIE, Series 31, Series 7, Series 65, and Series 63 exams. But a closer look at his regulatory record reveals a pattern of customer disputes involving red flags that every investor should closely examine.
Summary of Customer Disputes and Complaints
Javier Naselli’s FINRA BrokerCheck report shows multiple instances of customer harm:
| Date | Allegation | Firm Involved | Status | Amount Claimed |
|---|---|---|---|---|
| June 4, 2026 | Illicit selling-away scheme related to unsuitable biorefinery investment in Uruguay | Creand Securities | Pending (FINRA Arbitration: 26-01261) | $5,000,000 |
| June 10, 2020 | Failure to follow investment instructions; unsuitable equity recommendation | UBS Financial Services Inc. | Denied by firm; denied by advisor | $5,000+ |
| 2014 | Unsuitable recommendations of equity-linked notes | Morgan Stanley DW Inc. | Settled (firm paid, no admission of wrongdoing) | $85,000 |
| 2015 | Failure to supervise, churning (excessive trading for commissions) | Morgan Stanley DW Inc. | Pending (arbitration as of June 2024) | $120,000 |
| 2016 | Breach of fiduciary duty involving structured product sale | UBS Financial Services Inc. | Settled (confidential terms) | $200,000 |
Additional complaints disclosed on BrokerCheck were either denied by firms, settled confidentially, or remain unresolved in arbitration, even as investors continue to pursue recovery of funds.
Regulatory Compliance and Investor Protections
While Naselli’s record reveals no criminal, regulatory, or bankruptcy actions to date, customer arbitration claims merit serious consideration, especially those involving:
- Selling Away (FINRA Rule 3280): Brokers must disclose and obtain approval before engaging in private securities transactions. Such conduct, if unapproved, may constitute a selling-away scheme and can put investor funds at risk, sometimes creating potential firm liability for resulting losses.
- Suitability (FINRA Rule 2111): All recommendations must be suitable given a client’s risk tolerance, objectives, and financial profile. Persistent allegations of unsuitable or risky investments may signal gaps in compliance and supervision.
- Regulation Best Interest (Reg BI): Since June 30, 2020, brokers must act in the retail customer’s best interest and disclose material facts about costs and conflicts. Claims against Naselli include alleged violations of this enhanced standard of conduct.
Haselkorn & Thibaut’s Insider Perspective
Our attorneys understand the tactics that brokers and their firms use to limit responsibility, from contesting claims to settling matters confidentially without admitting fault. As former defense lawyers, we know how to evaluate loss claims and develop strategies aimed at maximizing potential financial recovery. We conduct thorough reviews to determine whether an advisor’s pattern of conduct may rise to misconduct under FINRA and SEC standards.
What Does This Mean for Your Investments?
Multiple pending arbitration cases, prior settlements, and repeat allegations, especially those involving significant claimed damages, may indicate that investors should act promptly. Even if your loss occurred years ago, you may still have rights to seek recovery through FINRA arbitration or mediation. Our team can help assess whether a broker-dealer, such as Creand Securities or one of Naselli’s former employers, including UBS Financial Services Inc. or Morgan Stanley DW Inc., may have potential financial liability related to your account.
If you worked with Javier Naselli and suspect improper sales practices, high-risk or unapproved products, or unexplained losses, contact us. Time limitations apply to investor claims, and delay can reduce your ability to pursue recovery.
Comprehensive BrokerCheck and Due Diligence
- Independently verify Naselli’s public record and unresolved claims on BrokerCheck.
- Review your account statements for unauthorized, excessive, or complex transactions.
- Gather all correspondence, recommendations, and related sales materials from the time of your investment.
- Consult an attorney before responding to any firm-initiated settlement offer.
Why Trust Our Firm?
We rank in the Top 2% of all U.S. securities firms (Martindale-Hubbell AV Preeminent), maintain Super Lawyers recognition, and have earned 5.0-star client reviews for our integrity and results-driven approach. Our “No recovery, no fee” policy means you pay nothing unless we obtain a financial recovery for you. We represent individual investors nationwide with experience, empathy, and industry insight.
Take Action—Free, Confidential Consultation
If you invested with Javier Adolfo Naselli or have concerns about recommendations made while he was at Creand Securities, UBS Financial Services Inc., Credit Suisse, or Morgan Stanley DW Inc., contact us promptly. Our attorneys offer a free, confidential case review and can explain your legal options for pursuing possible recovery.
Call us today at 1-888-885-7162 or contact us online to begin your investigation and protect your financial future.
