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Jonathan Dale Upton with LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years

Who is Jonathan D. Upton with LPL Financial LLC?

Jonathan Upton (CRD #4559794) who is currently registered with LPL Financial LLC and located in Louisville, Kentucky is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Jonathan Upton was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems.

LPL Financial LLC Broker Misconduct

In his career, Jonathan Upton has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. One of Jonathan Upton’s 3 customer complaints was settled in favor of investors. The other customer complaints were denied by Jonathan Upton and his employer and the customers have not taken any further action.

Allegations Against Jonathan Upton  

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

  • Claimant alleged mismanagement which caused investment losses.
  • Customer alleged failure to follow instructions.
  • Customer alleged misrepresentation, and an unsuitable hold investment recommendation.

Jonathan Upton Red Flags & Your Rights As An Investor

Of course, Jonathan Upton 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 Jonathan Upton at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Jonathan Upton 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 Jonathan Upton 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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