Mar 8, 2022

John Welp of LPL Financial

DID JOHN PATRICK WELP CAUSE YOU INVESTMENT LOSSES? John Welp Of LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is John Welp of LPL Financial? John Welp (CRD #2368419) who is currently registered with LPL Financial and located in Jasper, Indiana is a subject of one of our many securities industry sales practice abuse investigations. John Welp Customer Complaint John Welp has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were breach of fiduciary duty and contract through unsuitable investment recommendations, misrepresentations, common law fraud, violations of the Securities Exchange Act of 1934, and negligent supervision. John Welp’s customer complaint was settled in favor of the investors. John Welp Red Flags & Your Rights As An Investor Of course, John Welp 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 John Welp at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether John Welp has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial 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. File A Claim To Recover Your Investment Losses At LPL Financial Due To John Welp If you have questions about LPL Financial and/or John Welp 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.

Continue Reading

Mar 8, 2022

James Zegers formerly with LPL Financial

DID JAMES JOSEPH ZEGERS CAUSE YOU INVESTMENT LOSSES? James Zegers Formerly With LPL Financial And Voya Financial Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is James Zegers formerly with LPL Financial? James Zegers (CRD #2559008) who was formerly registered with LPL Financial and located in Albany, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, James Zegers was associated with Voya Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Zegers Customer Complaints James Zegers has been the subject of 2 customer complaints that we know about. One of James Zegers’ 2 customer complaints was settled in favor of investors. One of James Zegers’ customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against James Zegers 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 James Zegers’ failure to properly diversify portfolio, failure to supervise, breach of contract, and negligence based on purchase of Northstar REIT. The client alleged that James Zegers advised him that the investment offered a guaranteed return of 8% per year. James Zegers Red Flags & Your Rights As An Investor Of course, James Zegers 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 James Zegers at LPL Financial and Voya Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether James Zegers has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and Voya Financial Advisors 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. File A Claim To Recover Your Investment Losses At LPL Financial Due To James Zegers If you have questions about LPL Financial, Voya Financial Advisors, and/or James Zegers 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.

Continue Reading

Mar 8, 2022

Jason Anderson formerly with Merrill Lynch Pierce Fenner & Smith

DID JASON J. ANDERSON CAUSE YOU INVESTMENT LOSSES? Jason Anderson Formerly With Merrill Lynch Pierce Fenner & Smith And LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Jason Anderson formerly with Merrill Lynch Pierce Fenner & Smith? Jason Anderson (CRD #6034985) who was formerly registered with Merrill Lynch Pierce Fenner & Smithand located in Savannah, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Jason Anderson was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jason Anderson has had his own regulatory problems.  In February 2021, Jason Anderson was permanently barred from any further association with any member firm in the securities industry in any capacity for failing to respond to a FINRA request for information in connection with 1 of its investigations. Jason Anderson Customer Complaint Jason Anderson has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that a fraudulent check was written to repay a loan provided to the Financial Advisor. Jason Anderson’s customer complaint was denied and, to date, the customer has not taken any further action. Jason Anderson Red Flags & Your Rights As An Investor Of course, Jason Anderson 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 Jason Anderson at Merrill Lynch Pierce Fenner & Smith and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Jason Anderson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith and LPL Financial 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. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Jason Anderson If you have questions about Merrill Lynch Pierce Fenner & Smith, LPL Financial, and/or Jason Anderson 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.

Continue Reading

Mar 8, 2022

Joel Arivett of Arvest Wealth Management

DID JOEL R. ARIVETT CAUSE YOU INVESTMENT LOSSES? Joel Arivett Of Arvest Wealth Management And Formerly With LPL Financial Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joel Arivett of Arvest Wealth Management? Joel Arivett (CRD #6746446) who is currently registered with Arvest Wealth Management and located in Russellville, Arkansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arvest Wealth Management, Joel Arivett was associated with LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joel Arivett Customer Complaints Joel Arivett has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. One of Joel Arivett’s 2 customer complaints was settled in favor of the investors. There is currently one pending customer complaint filed against Edward Jones for investment losses caused by Joel Arivett’s alleged misconduct. Allegations Against Joel Arivett A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged Joel Arivett promised that client’s account would have $115,000 once trades were processed, but the account only had $107,895.67 after the trades were completed. Client alleged that funds were not invested in 529 plans as instructed allegedly committed by Joel Arivett. Joel Arivett Red Flags & Your Rights As An Investor Of course, Joel Arivett 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 Joel Arivett at Arvest Wealth Management and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Joel Arivett has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arvest Wealth Management and LPL Financial 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. File A Claim To Recover Your Investment Losses At Arvest Wealth Management Due To Joel Arivett If you have questions about Arvest Wealth Management, LPL Financial, and/or Joel Arivett 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.

Continue Reading

Mar 8, 2022

Lawrence Avery of LPL Financial

DID LAWRENCE HENRY AVERY CAUSE YOU INVESTMENT LOSSES? Lawrence Avery Of LPL Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Lawrence Avery of LPL Financial? Lawrence Avery (CRD #4388940) who is currently registered with LPL Financial and located in Traverse City, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Lawrence Avery Customer Complaint Lawrence Avery has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were misrepresentation of a business development company investment. Lawrence Avery’s customer complaint was denied and, to date, the customer has not taken any further action. Lawrence Avery Red Flags & Your Rights As An Investor Of course, Lawrence Avery 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 Lawrence Avery at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Lawrence Avery has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial 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. File A Claim To Recover Your Investment Losses At LPL Financial Due To Lawrence Avery If you have questions about LPL Financial and/or Lawrence Avery 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.

Continue Reading

Mar 8, 2022

Erich Raasch of LPL Financial

DID ERICH RAASCH CAUSE YOU INVESTMENT LOSSES? Erich Raasch Of LPL Financial LLC Has One Customer Complaint For Alleged Broker Misconduct Who is Erich Raasch of LPL Financial LLC? Erich Raasch (CRD #2001643) who is currently registered with LPL Financial LLC and located in Greencastle, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Erich Raasch Customer Complaint Erich Raasch has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were misrepresentation of unsuitable structured note. Erich Raasch’s customer complaint was denied and, to date, the customer has not taken any further action. Erich Raasch Red Flags & Your Rights As An Investor Of course, Erich Raasch 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 Erich Raasch at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Erich Raasch 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. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Erich Raasch If you have questions about LPL Financial LLC and/or Erich Raasch 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.

Continue Reading

Mar 8, 2022

Andrew Quinn of LPL Financial

DID ANDREW QUINN CAUSE YOU INVESTMENT LOSSES? Andrew Quinn Of LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Andrew Quinn of LPL Financial LLC? Andrew Quinn (CRD #2031281) who is currently registered with LPL Financial LLC and located in Somerset, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Andrew Quinn Customer Complaints Andrew Quinn has been the subject of 2 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Andrew Quinn’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against LPL Financial LLC for investment losses caused by Andrew Quinn’s alleged misconduct. Allegations Against Andrew Quinn 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 that when the equity markets became volatile in March 2020, she contacted Andrew Quinn for advice on her mutual fund. Mr. Quinn provided her with options, and she instructed him to make her account “safe”. She complained that she missed out on market returns, which took place after the market began recovering.  LPL and Mr. Quinn denied any wrongdoing and alleged claimant was provided with reasonable options for her ultimate decision, and that she directed the activity in her account. Client alleged Andrew Quinn’s fees were not disclosed and transaction was unsuitable. Andrew Quinn Red Flags & Your Rights As An Investor Of course, Andrew Quinn 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 Andrew Quinn at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Andrew Quinn 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. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Andrew Quinn If you have questions about LPL Financial LLC and/or Andrew Quinn 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.

Continue Reading

Mar 8, 2022

Thomas Polito of LPL Financial

DID THOMAS POLITO CAUSE YOU INVESTMENT LOSSES? Thomas Polito Of LPL Financial LLC And Formerly With Capital One Investing, Capital One Advisors And Capital One Financial Advisors Has One Customer Complaint For Alleged Broker Misconduct Who is Thomas Polito of LPL Financial? Thomas Polito (CRD #2601033) who is currently registered with LPL Financial LLC and located in Woodbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Thomas Polito was associated with Capital One Investing, Capital One Advisors, Capital One Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas Polito Customer Complaint Thomas Polito has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the complainant, the customer’s son, alleged his mother’s investment was not suitable for her. He further alleged the financial advisor violated several industry ethical standards by recommending this product to his mother. Thomas Polito’s customer complaint was denied and, to date, the customer has not taken any further action. Thomas Polito Red Flags & Your Rights As An Investor Of course, Thomas Polito 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 Thomas Polito at LPL Financial LLC, Capital One Investing, Capital One Advisors, Capital One Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Thomas Polito has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC, Capital One Investing, Capital One Advisors, Capital One Financial Advisors 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. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Thomas Polito If you have questions about LPL Financial LLC, Capital One Investing, Capital One Advisors, Capital One Financial Advisors, and/or Thomas Polito 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.

Continue Reading

Mar 8, 2022

Samuel Phillips of LPL Financial

DID SAMUEL PHILLIPS CAUSE YOU INVESTMENT LOSSES? Samuel Phillips Of LPL Financial LLC And Formerly With Invest Financial Has One Customer Complaint For Alleged Broker Misconduct Who is Samuel Phillips of LPL Financial LLC? Samuel Phillips (CRD #2486976) who is currently registered with LPL Financial LLC and located in Lemoyne, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Samuel Phillips was associated with Invest Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Samuel Phillips Customer Complaint Samuel Phillips has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the customer alleged that she was not advised about breakpoints or the option to invest in an advisory account, and sought recovery of sales charges for the purchase of Class A shares. Samuel Phillips’ customer complaint was denied and, to date, the customer has not taken any further action. Samuel Phillips Red Flags & Your Rights As An Investor Of course, Samuel Phillips 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 Samuel Phillips at LPL Financial LLC and Invest Financial on alert to review carefully the activity and performance of their accounts and question whether Samuel Phillips has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Invest Financial 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. File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Samuel Phillips If you have questions about LPL Financial LLC, Invest Financial, and/or Samuel Phillips 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.

Continue Reading

Mar 8, 2022

Darin Stevens of LPL Financial

DID DARIN ANDREW STEVENS CAUSE YOU INVESTMENT LOSSES? Darin Stevens Of LPL Financial, Blue Water Asset Management And Formerly With Invest Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Darin Stevens of LPL Financial? Darin Stevens (CRD #4051859) who is currently registered with LPL Financial, Blue Water Asset Management and located in Chamblee, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial and Blue Water Asset Management, Darin Stevens was associated with Invest Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Darin Stevens Customer Complaint Darin Stevens has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses was wrongdoing that previously occurred at an unidentified prior broker-dealer. There were no direct allegations of unsuitability against LPL or against advisor Darin Stevens while registered at LPL. The customer complaint filed against Darin Stevens’ current employer LPL Financial for investment losses caused by the alleged misconduct is pending as of the date of this report. Darin Stevens Red Flags & Your Rights As An Investor Of course, Darin Stevens 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 Darin Stevens at LPL Financial, Blue Water Asset Management, and Invest Financial on alert to review carefully the activity and performance of their accounts and question whether Darin Stevens has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, Blue Water Asset Management, and Invest Financial 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. File A Claim To Recover Your Investment Losses At LPL Financial Due To Darin Stevens If you have questions about LPL Financial, Blue Water Asset Management, Invest Financial, and/or Darin Stevens 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.

Continue Reading