DID ANDY MARK SCHWARTZ CAUSE YOU INVESTMENT LOSSES?
Andy Schwartz Of LPL Financial LLC And Formerly With Northwestern Mutual Investment Services, LLC Has A Customer Complaint For Alleged Broker Misconduct
Who is Andy Schwartz of LPL Financial LLC?
Andy Schwartz (CRD #1317986) who is currently registered with LPL Financial LLC and located in Fairfield, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Andy Schwartz was associated with Northwestern Mutual Investment Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Andy Schwartz Customer Complaint
Andy Schwartz 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 for failure to recommend sell order. Andy Schwartz’s customer complaint was denied and, to date, the customer has not taken any further action.
Andy Schwartz Red Flags & Your Rights As An Investor
Of course, Andy Schwartz 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 Andy Schwartz at LPL Financial and Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Andy Schwartz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and Northwestern Mutual Investment Services 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 Andy Schwartz
If you have questions about LPL Financial, Northwestern Mutual Investment Services, and/or Andy Schwartz 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.