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Kirk Balin Of LPL Financial And Householder Group Estate Retirement Specialists Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Kirk Balin of LPL Financial?

Kirk Balin (CRD #4590715) who is currently registered with LPL Financial, Householder Group Estate Retirement Specialists and located in Seattle, Washington is a subject of one of our many securities industry sales practice abuse investigations.

Kirk Balin Customer Complaints

Kirk Balin has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Kirk Balin’s 3 customer complaints were settled in favor of investors. One of Kirk Balin’s customers’ complaints was denied and, to date, the customer has not taken any further action.

Allegations Against Kirk Balin

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 that she desired low risk investments but instead was recommended certain alternative investments, which Claimant alleged were unsuitable to her objectives allegedly made by Kirk Balin.
  • Customer alleged Kirk Balin failed to follow instructions and positions were sold at a loss due to an unauthorized trade.
  • Customer alleged Kirk Balin’s unsuitability and breach of fiduciary duty in connection with purchase of 5 investments including non-traded REITs.

Kirk Balin Red Flags & Your Rights As An Investor

Of course, Kirk Balin 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 Kirk Balin at LPL Financial and Householder Group Estate Retirement Specialists on alert to review carefully the activity and performance of their accounts and question whether Kirk Balin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial and Householder Group Estate Retirement Specialists 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 Kirk Balin

If you have questions about LPL Financial, Householder Group Estate Retirement Specialists, and/or Kirk Balin 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 $160 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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