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George Ly of LPL Financial LLC And Formerly With Cetera Investment Services Has 3 Customer Complaints For Alleged Broker Misconduct

Who is George Ly of LPL Financial LLC?

George Ly (CRD #4630985) who is currently registered with LPL Financial LLC and located in La Mirada, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, George Ly was associated with Cetera Investment Advisers, Cetera Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

George Ly Customer Complaints

George Ly has been the subject of at least 3 customer complaints that we know about. The allegations made in the FINRA reported customer complaints for investment losses were for George Ly’s alleged misrepresentations and unsuitable investment recommendations. The customer complaint filed against George Ly’s former employer Cetera Investment Services for investment losses caused by the alleged misconduct is still pending as of the date of this report.

George Ly Red Flags & Your Rights As An Investor

Of course, George Ly 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 George Ly at LPL Financial LLC, Cetera Investment Advisers and Cetera Investment Services on alert to review carefully the activity and performance of their accounts and question whether George Ly has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC, Cetera Investment Advisers and Cetera Investment Services also raises questions about the brokerage firm’s 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 George Ly

If you have questions about LPL Financial LLC, Cetera Investment Advisers, Cetera Investment Services, and/or George Ly 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 $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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