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DID JOHN CHARLES BROUGHTON CAUSE YOU INVESTMENT LOSSES?

John Broughton Formerly With Citizens Securities, Cetera Investment Services And LPL Financial Has 4 Customer Complaints For Alleged Broker Misconduct

Who is John Broughton of Citizens Securities?

John Broughton (CRD #2362478) who was formerly registered with Citizens Securities and located in Johnston, Rhode Island is a subject of one of our many securities industry sales practice abuse investigations. Prior to Citizens Securities, John Broughton was associated with Cetera Investment Services, LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

John Broughton Customer Complaints

John Broughton has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of John Broughton’s 4 customer complaints were settled in favor of investors. One of John Broughton’s customers’ complaints was denied and, to date, the customers have not taken any further action.

Allegations Against John Broughton

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

  • Client alleged John Broughton misrepresented the interest she would receive from annuity and the fees charged.
  • Customer alleged misrepresentation by John Broughton in connection with the preferred stock sale.
  • Customer alleged John Broughton gave them improper investment advice.

John Broughton Red Flags & Your Rights As An Investor

Of course, John Broughton 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 John Broughton at Citizens Securities, Cetera Investment Services, and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether John Broughton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Citizens Securities, Cetera Investment Services, and LPL Financial 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 Citizens Securities, Cetera Investment Services, And LPL Financial Due To John Broughton

If you have questions about Citizens Securities, Cetera Investment Services, LPL Financial, and/or John Broughton 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 has been a trial attorney for more than 40 years and is the founding partner of The Law Offices of Robert Wayne Pearce. You can learn more about Robert and his accomplishments by clicking here.

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