DID FREDERICK JAMES GUIST CAUSE YOU INVESTMENT LOSSES?
Frederick James Guist of LPL Financial LLC And Formerly With SII investments, Inc. Has A Customer Complaint For Alleged Broker Misconduct
Who is Frederick Guist of LPL Financial LLC?
Frederick Guist (CRD #5308813) who is currently registered with LPL Financial LLC and located in Janesville, Wisconsin, is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Frederick Guist was associated with SII investments, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Frederick Guist Customer Complaint
Frederick Guist 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 for breach of fiduciary duty and negligence in connection with the purchase of a REIT and a business development company investment.
Frederick Guist Red Flags & Your Rights As An Investor
Of course, Frederick Guist 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 Frederick Guist at LPL Financial LLC and SII investments, Inc. on alert to review carefully the activity and performance of their accounts and question whether Frederick Guist has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and SII investments, Inc. 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 Frederick Guist
If you have questions about LPL Financial LLC and SII investments, Inc. and/or Frederick Guist 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.