DID JOANNA INGBERG WESTCOTT CAUSE YOU INVESTMENT LOSSES?
About Joanna Westcott of LPL Financial LLC?
Joanna Westcott (CRD #1187278) has a longstanding career in the financial services industry, currently employed with LPL Financial LLC in Tucson, Arizona since March 2004. She is registered in 24 U.S. states and territories. Westcott has passed 2 general industry/product exams and 1 multi-state securities law exam. Previously, she was registered with Legend Equities Corporation and has moved through various firms, contributing to her broad experience across different financial environments.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Joanna Westcott Customer Complaints and Reviews
TJoanna Westcott’s FINRA report includes one notable disclosure:
- Customer Dispute (1 incident): In November 2023, a claim was filed alleging that Westcott made unsuitable investment recommendations from September 2019 to February 2023 involving listed equities and exchange-traded funds. The complaint was settled in May 2024 for $190,000, although Westcott was not named as a respondent in the complaint, nor did she contribute to the settlement.
Allegations Against Joanna Westcott
- Customer Complaints:
- The allegations involved unsuitable investment recommendations related to equities and exchange-traded funds, which led to a financial settlement to address the claims. Westcott, however, was not directly named as a respondent in these proceedings and made no personal contributions to the settlement.
Joanna Westcott Red Flags & Your Rights As An Investor
Of course, Joanna Westcott 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 Joanna Westcott at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Joanna Westcott has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage firms’ 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 LPL Financial LLC Due To Joanna Westcott
If you have questions about LPL Financial LLC and/or Joanna Westcott 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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