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James Helfinstine Of LPL Financial And Formerly With National Planning Has 2 Customer Complaints For Alleged Broker Misconduct

Who is James Helfinstine of LPL Financial?

James Helfinstine (CRD #2425243) who is currently registered with LPL Financial and located in Prescott, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, James Helfinstine was associated with National Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

James Helfinstine Customer Complaints

James Helfinstine has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Both of James Helfinstine’s customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against James Helfinstine

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

  • Customer alleged that James Helfinstine guaranteed her signature by using a medallion stamp and seal on documents that were not signed by her.
  • Customers alleged James Helfinstine’s unauthorized investment into variable annuities.

James Helfinstine Red Flags & Your Rights As An Investor

Of course, James Helfinstine 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 James Helfinstine at LPL Financial and National Planning on alert to review carefully the activity and performance of their accounts and question whether James Helfinstine has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and National Planning 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 Due To James Helfinstine

If you have questions about LPL Financial, National Planning, and/or James Helfinstine 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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