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Daniel Zimmerman Of LPL Financial LLC And Formerly With Invest Financial Corporation Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Daniel Zimmerman of LPL Financial LLC?

Daniel Zimmerman (CRD #4668115) who is currently registered with LPL Financial LLC and located in Moorestown, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Daniel Zimmerman was associated with Invest Financial Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Daniel Zimmerman Customer Complaints

Daniel Zimmermann has been the subject of3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Two of Daniel Zimmerman’s 3 customer complaints were settled in favor of investors. There is currently 1 pending customer complaint filed against Daniel Zimmerman’s former employer Invest Financial Corporation for investment losses caused by the alleged misconduct.

Allegations Against Daniel Zimmerman

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

  • Unlawful guarantee of investment return.
  • Failure to disclose surrender penalty.

Daniel Zimmerman Red Flags & Your Rights As An Investor

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

If you have questions about LPL Financial LLC, Invest Financial Corporation, and/or Daniel Zimmerman 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.

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