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Leonard Rickey Formerly With LPL Financial Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Leonard Rickey formerly with LPL Financial?

Leonard Rickey (CRD #832906) who was formerly registered with LPL Financial and located in Yakima, Washington is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Leonard Rickey was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Leonard Rickey Customer Complaints

Leonard Rickey has been the subject of 2 customer complaints that we know about. Two of Leonard Rickey’s customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Leonard Rickey

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

  • Customers allege that Leonard Rickey failed to liquidate account assets after customers expressed a desire to do so.
  • The customer alleged that she was not adequately informed or educated about the product by Leonard Rickey prior to her purchase.

Leonard Rickey Red Flags & Your Rights As An Investor

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

If you have questions about LPL Financial and/or Leonard Rickey 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 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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