DID JONATHAN DALE UPTON CAUSE YOU INVESTMENT LOSSES?
Jonathan Upton Of LPL Financial LLC Has 4 Customer Complaints For Alleged Broker Misconduct
Who is Jonathan Upton of LPL Financial LLC?
Jonathan Upton (CRD #4559794) who is currently registered as a broker and investment adviser with LPL Financial LLC and located in Louisville, Kentucky, is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Jonathan Upton was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Jonathan Upton Broker Misconduct
In his career, Jonathan Upton has been the subject of 4 customer complaints that we know about, two of those complaints were filed in the last 2 years to recover investment losses. One of Jonathan Upton’s 3 customer complaints was settled in favor of investors. The other customer complaints were denied by Jonathan Upton and his employer and the customers have not taken any further action.
Allegations Against Jonathan Upton
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Claimant alleged mismanagement which caused investment losses.
- Customer alleged failure to follow instructions.
- Customer alleged misrepresentation, and an unsuitable hold investment recommendation.
- Unsuitable recommendation to purchase variable annuity contract and structured note.
Jonathan Upton Red Flags & Your Rights As An Investor
Of course, Jonathan Upton 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 Jonathan Upton at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Jonathan Upton 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 Jonathan Upton
If you have questions about LPL Financial LLC and/or Jonathan Upton 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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