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Peter Evans Of LPL Financial LLC And Formerly With Securian Financial Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Peter Evans of LPL Financial LLC?

Peter Evans

Peter Evans (CRD #1516196) who is currently registered as a broker and investment adviser with LPL Financial LLC and located in San Mateo, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Peter Evans was associated with Securian Financial Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Peter Evans Customer Complaints

Peter Evans has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by Securian Financial Services in favor of the investor. Another FINRA arbitration proceeding filed against LPL Financial for Peter Evans alleged misconduct is still pending.

Allegations Against Peter Evans

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

  • Breach of fiduciary duties by approving cash withdrawals which indirectly benefited the advisor.
  • Forgery, unauthorized trading, unauthorized imposition of fees, conversion/unauthorized transactions, and undisclosed and not approved outside business activities.

Peter Evans Red Flags & Your Rights As An Investor

Of course, Peter Evans 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 Peter Evans at LPL Financial LLC and Securian Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Peter Evans has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Securian Financial Services, Inc. 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.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Peter Evans

If you have questions about LPL Financial LLC, Securian Financial Services, Inc. and/or Peter Evans 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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