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Garrett Caplin LPL Financial LLC And Formerly With Wells Fargo Clearing Services, LLC, Has A Customer Complaint For Alleged Broker Misconduct

Who is Garrett Caplin of LPL Financial LLC?

Garrett Caplin (CRD #5968832) who is currently registered with LPL Financial LLC  and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial LLC, Garrett Caplin was associated with Wells Fargo Clearing Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Garrett Caplin has had his own regulatory problems. He was permanently barred by FINRA for failure to cooperate in one of its investigations relating to his conduct at a brokerage firm.

Garrett Caplin Customer Complaint

Garrett Caplin 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 failure to follow a customer’s instructions.

Garrett Caplin Red Flags & Your Rights As An Investor

Of course, Garrett Caplin 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 Garrett Caplin at LPL Financial LLC and Formerly with Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Garrett Caplin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Wells Fargo Clearing Services, 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 Garrett Caplin

If you have questions about LPL Financial LLC And Formerly With Wells Fargo Clearing Services, LLC and/or Garrett Caplin 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.

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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 $160 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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