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Harold Martin Collins formerly with LPL Financial LLC Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years

Who is Harold M. Collins formerly with LPL Financial LLC?

Harold Collins (CRD #4366651) who was formerly registered with LPL Financial LLC and located in Auburn, Indiana is a subject of one of our many securities industry sales practice abuse investigations.  

Prior to LPL Financial LLC, Harold Collins was associated with 2other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

LPL Financial LLC Broker Misconduct

In his career, Harold Collins has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses.

One of Harold Collins’ customer complaints was settled in favor of investors. There is currently 1 pending customer complaint filed against Harold Collins’ former employer LPL Financial LLC for investment losses caused by his alleged misconduct.

Allegations Against Harold Collins

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

  • The customer alleged claims for misrepresentation, selling away, and poor advice with respect to an investment in a “Future Income Payment Purchase Agreement.”
  • The claimant alleged breach of fiduciary duty, breach of contract, and misrepresentations related to a purported investment in Future Income Payment Purchase Agreement.

Harold Collins Red Flags & Your Rights as An Investor

Of course, Harold Collins 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 that should put all current and former customers of Harold Collins at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Harold Collins 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 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

If you have questions about LPL Financial LLC and/or Harold Collins 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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