| Read Time: 2 minutes | LPL Financial Complaints |


Bret Alexander Hartman Formally With LPL Financial, LLC Has 3 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years

Who is Bret A. Hartman Formerly With LPL Financial, LLC.?

Bret Hartman (CRD #4502046) who is currently registered with Berthel, Fisher & Company Financial Services, Inc. and located in Cortland, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

LPL Financial, LLC Broker Misconduct

In his career, Bret Hartman has been the subject of 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. All 3 of those customer complaints occurred in connection with his employment at LPL Financial, LLC. All of Bret Hartman’s 3 customer complaints were settled in favor of investors.

Allegations Against Bret Hartman

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • Unsuitability and misrepresentation of structured product investments in an IRA account.
  • Claimants allege that an income-producing investments in a structured notes was unsuitable for them.
  • Customer’s alleged misrepresentation of unsuitable structured notes.

Bret Hartman Red Flags & Your Rights As An Investor

Of course, Bret Hartman 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 Bret Hartman at Berthel, Fisher & Company Financial Services, Inc. and LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Bret Hartman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about Bret Hartman at LPL Financial LLC also raises questions about its 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

If you have questions about Berthel, Fisher & Company Financial Services, Inc., LPL Financial LLC and/or Bret Hartman 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.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars