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Lisa R. Kulhavi with LPL Financial, LLC Has to Customer Complaints for Alleged Broker Misconduct in the Past Year

Who is Lisa R. Kulhavi with LPL Financial, LLC?

Lisa Kulhavi (CRD #2544061) who is currently registered with LPL Financial, LLC and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations.  

Prior to LPL Financial, LLC, Lisa Kulhavi was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

LPL Financial, LLC Broker Misconduct

In her career, Lisa Kulhavi has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses.  Both of Lisa Kulhavi’s customer complaints were recently denied by LPL Financial, LLC, and the customers have yet to file their arbitration claims.

Allegations Against Lisa Kulhavi

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

  • The customer alleged that annuities recommended by Lisa Kulhavi and purchased or unsuitable transactions.
  • The customer alleged that annuities purchased were unsuitable and made a claim for rescission, a reversal of advisory fees, and attorney fees.

Lisa Kulhavi Red Flags & Your Rights as An Investor

Of course, Lisa Kulhavi 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 Lisa Kulhavi at LPL Financial, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Lisa Kulhavi has engaged in any stockbroker misconduct that may have caused them investment losses.

A large number of customer complaints at LPL Financial, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated 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 And Merrill Lynch, Pierce, Fenner & Smith Incorporated

If you have questions about LPL Financial, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and/or Lisa Kulhavi 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 $140 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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