It is critical for everyone to understand as much as possible about the individuals with whom they entrust their money. Background checks, for example, include a variety of data about your past job history, regulatory disciplinary actions, and consumer complaints.
We’ll do everything we can to answer any questions you have regarding Cole Mills and your investment losses. We’ll try to address any concerns you have.
DID COLE LAWRENCE MILLS CAUSE YOU INVESTMENT LOSSES?
Cole Mills Of LPL Financial LLC And Formerly With Waddell & Reed Has A Customer Complaint For Alleged Broker Misconduct
Who is Cole Mills of LPL Financial LLC?
Cole Mills (CRD #4278314) who is currently registered with LPL Financial LLC and located in Portland, Oregon is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Cole Mills was associated with Waddell & Reed and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Cole Mills Customer Complaint
Cole Mills 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 Cole Mills now did advise the customers as to tax consequences related to distributions taken from a rollover IRA accounts resulting in substantial tax liabilities. Cole Mills’ customer complaint was denied and, to date, the customer has not taken any further action.
Cole Mills Red Flags & Your Rights As An Investor
Of course, Cole Mills 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 Cole Mills at LPL Financial LLC and Waddell & Reed on alert to review carefully the activity and performance of their accounts and question whether Cole Mills has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Waddell & Reed 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 Cole Mills
If you have questions about LPL Financial LLC, Waddell & Reed, and/or Cole Mills 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.