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John Horseman Of LPL Financial LLC And Formerly With National Planning Has 4 Customer Complaints For Alleged Broker Misconduct

Who is John Horseman of LPL Financial LLC?

John Horseman (CRD #851636) who is currently registered with LPL Financial LLC and located in St. Louis, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, John Horseman was associated with National Planning and 16 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

John Horseman Customer Complaints

John Horseman has been the subject of 4 customer complaints that we know about. Two of John Horseman’s 4 customer complaints were settled in favor of investors. Two of John Horseman’s customers’ complaints were denied and the customers did not take any further action.

Allegations Against John Horseman

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

  • Claimant alleged poor recommendation by John Horseman resulting in poor performance and failure to disclose fees and commissions.
  • Claimant alleged that he purchased variable annuities that declined in value after he moved investments to another brokerage firm allegedly made by John Horseman.
  • Claimant alleged that two variable annuities John Horseman purchased were unsuitable.
  • Customer alleged that REIT purchased had not performed as John Horseman had predicted, and sought recovery of some of his investment losses.

John Horseman Red Flags & Your Rights As An Investor

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

If you have questions about LPL Financial LLC, National Planning and/or John Horseman 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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