DID RILEY ROBERT GIAUQUE CAUSE YOU INVESTMENT LOSSES?
About Riley Giauque of LPL Financial LLC?
Riley Giauque (CRD #7180635) is currently employed by LPL Financial LLC, where he has been registered since November 27, 2023. He has passed two general industry/product exams, including the General Securities Representative Examination and the Securities Industry Essentials Examination. He also passed the Uniform Combined State Law Examination. Riley is licensed in Florida and North Dakota. His previous employment includes Flaharty Asset Management LLC and Legacy Wealth Management.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Riley Giauque Customer Complaints and Reviews
Riley Giauque has one customer dispute currently pending:
- Customer Dispute Received: August 12, 2024
- Complaint: The complaint states that annuity exchange transactions were not in the client’s best interest.
- Damages: Over $5,000
Allegations Against Riley Giauque
The customer complaint against Riley Giauque involves claims that the annuity exchange transactions recommended were not in the client’s best interest. The dispute remains unresolved.
Riley Giauque Red Flags & Your Rights As An Investor
Of course, Riley Giauque 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 Riley Giauque at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Riley Giauque 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 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 LPL Financial LLC Due To LPL Financial LLC
If you have questions about LPL Financial LLC and/or Riley Giauque 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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