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Gleason Swassing III Formerly With LPL Financial LLC Has A Customer Complaint For Alleged Broker Misconduct

Who is Gleason Swassing III formerly with LPL Financial LLC?

Gleason Swassing III (CRD #4060433) who was formerly registered with LPL Financial LLC and located in Pocatello Idaho, is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Gleason Swassing III was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Gleason Swassing III Customer Complaint

Gleason Swassing III 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 related to a solicited purchase of shares in a joint venture for the purchaser real estate. The brokerage firm denied the customer complaint, and to date, no further customer action has been taken.

Gleason Swassing III Red Flags & Your Rights As An Investor

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

If you have questions about LPL Financial LLC and/or Gleason Swassing III 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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