DID LISA MARIE PAMPERIN CAUSE YOU INVESTMENT LOSSES?
About Lisa Pamperin of Creative Planning?
Lisa Pamperin (CRD #5213367) , located in Overland Park, Kansas, has over a decade of experience in the financial services industry, with roles spanning from investment advisory to relationship banking. She has been associated with notable firms such as J.P. Morgan Institutional Investments, Chase Investment Services, and GWFS Equities, demonstrating a diverse career in financial planning and advisory services. Lisa holds qualifications in several securities industry exams, underscoring her technical expertise.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Lisa Pamperin Customer Complaints and Reviews
Lisa Pamperin has one reported customer dispute, which was denied and resolved without action or financial settlement.
- Details of the Dispute:
- Complaint received on August 12, 2009
- Allegations: A client alleged unauthorized trading in a pension account.
- Alleged Damages: $55,647.65.
- Outcome: The firm stated that Lisa Pamperin did not have the authority or access to perform the transactions described in the complaint. The pension account was solely administered by the J.P. Morgan Chase Benefits Department, with which she had no affiliation. The claim was denied, with no settlement or damages awarded.
Allegations Against Lisa Pamperin
The single dispute involving Lisa Pamperin pertains to allegations of unauthorized trading within a pension account. While the client cited significant damages, the firm clarified that Pamperin’s job responsibilities and access did not permit her to conduct the transactions alleged in the complaint. The dispute was ultimately dismissed without action or compensation.
Such situations, while not reflective of wrongdoing, emphasize the importance of clear delineation of roles and responsibilities in financial institutions to prevent misunderstandings. The resolution of this matter in her favor indicates no finding of fault or misconduct.
Lisa Pamperin Employment History
- Firms Worked For:
- GWFS Equities, Inc. (2014–2016)
- J.P. Morgan Institutional Investments, Inc. (2006–2008, 2009–2014)
- Chase Investment Services Corporation (2008–2009)
- Exams Passed:
- General Industry/Product Exams: Series 6, Series 7, and Securities Industry Essentials
- Multi-State Securities Law Exams: Series 63 and Series 65
- Employment History Highlights:
- Currently employed as an Investment Advisor Representative with Creative Planning, LLC.
- Previous roles include Relationship Banker at BMO Harris Bank and managerial positions in non-investment roles.
- Registrations: Pamperin is not currently registered as a broker but holds licenses as an investment advisor.
Investment Advisors Owe Clients The Highest Level Of Care
Investment advisors are bound by fiduciary duties, which obligate them to prioritize their clients’ interests above their own. These responsibilities include a duty of loyalty, ensuring transparency about fees, risks, and conflicts of interest, as well as a duty of care to provide suitable and well-informed investment recommendations. Advisors must thoroughly explain the mechanics and potential risks of investment strategies to empower clients to make informed decisions. Adhering to these standards fosters trust, mitigates the risk of disputes, and ensures alignment with clients’ financial goals.
Option Trading Can Be Extremely Risky
Investment advisors are bound by fiduciary duties, which obligate them to prioritize their clients’ interests above their own. These responsibilities include a duty of loyalty, ensuring transparency about fees, risks, and conflicts of interest, as well as a duty of care to provide suitable and well-informed investment recommendations. Advisors must thoroughly explain the mechanics and potential risks of investment strategies to empower clients to make informed decisions. Adhering to these standards fosters trust, mitigates the risk of disputes, and ensures alignment with clients’ financial goals.
Lisa Pamperin Red Flags & Your Rights As An Investor
Of course, Lisa Pamperin did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Lisa Pamperin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Creative Planning Due To Lisa Pamperin
If you have questions about about Creative Planning and/or Lisa Pamperin and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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