| Read Time: 2 minutes | LPL Financial Complaints |


Brian Gaffney Of LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Brian Gaffney of LPL Financial LLC?

Brian Gaffney (CRD #1633401) who is currently registered with LPL Financial LLC and located in Chester, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  

Brian Gaffney Customer Complaints

Brian Gaffney has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Brian Gaffney’s customer complaints was denied and, to date, the customer has not taken any further action.  There is currently 1 pending customer complaint filed against Brian Gaffney’s current employer LPL Financial LLC for investment losses caused by the alleged misconduct.

Allegations Against Brian Gaffney  

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

  • Unsuitable investment recommendation of REIT in business development Company.
  • Unsuitable investment recommendations.

Brian Gaffney Red Flags & Your Rights As An Investor

Of course, Brian Gaffney 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 Gaffney at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Brian Gaffney 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 Brian Gaffney

If you have questions about LPL Financial LLC and/or Brian Gaffney 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