| Read Time: 2 minutes | LPL Financial Complaints |


Brian Bates Of LPL Financial LLC And Formerly With PNC Investments Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Brian Bates of LPL Financial LLC?

Brian Bates (CRD #2318413) who is currently registered with LPL Financial LLC and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Brian Bates was associated with PNC Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Brian Bates Customer Complaints

Brian Bates has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Brian Bates’ 3 customer complaints was settled in favor of investor.  Two of Brian Bates’ customer complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Brian Bates

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

  • Misrepresentations regarding managed account.
  • Misrepresentations regarding FDIC insured coverage of investment.

Brian Bates Red Flags & Your Rights As An Investor

Of course, Brian Bates 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 Brian Bates at LPL Financial LLC and PNC Investments on alert to review carefully the activity and performance of their accounts and question whether Brian Bates has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and PNC Investments 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 Brian Bates

If you have questions about LPL Financial LLC, PNC Investments, and/or Brian Bates 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