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Kevin C. Fretz Formerly with LPL Financial, LLC Has 5 Customer Complaints For Alleged Broker Misconduct In the Past Year

Who is Kevin C. Fretz Formerly with LPL Financial, LLC?

Kevin Fretz (CRD # 4128808) who was formerly registered with LPL Financial, LLC and located in South Windsor, Connecticut is a subject of one of our many securities industry sales practice abuse investigations.  Prior to LPL Financial, LLC, Kevin Fretz was associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

LPL Financial, LLC terminated Kevin Fretz’s employment in 2019 for allegedly failing to report customer complaints and failing to follow customer instructions.

LPL Financial, LLC Broker Misconduct

In his career, Kevin Fretzhas been the subject of 6 customer complaints that we know about, 5 of those complaints were filed in the last year to recover investment losses. Four of Kevin Fretz’s customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Kevin Fretz’s former employer for investment losses caused by his alleged misconduct.

Allegations Against Kevin C. Fretz

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

  • Customer alleges misrepresentation and unsuitability of a structured note.
  • Customer alleges advisor failed to follow instructions to invest funds.
  • Customer alleges forgery and misrepresentation of investment recommendations.
  • Customer alleges misrepresentation and unsuitability of a real estate security.

Kevin C. Fretz Red Flags & Your Rights as An Investor

Of course, Kevin Fretzdid 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 Kevin Fretzat LPL Financial, LLC on alert to review carefully the activity and performance of their accounts and question whether Kevin Fretz 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 Kevin Fretz 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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