| Read Time: 2 minutes | LPL Financial Complaints |

DID RICHARD HARRIS SALL CAUSE YOU INVESTMENT LOSSES?

Richard Sall Of LPL Financial And Formerly With Voya Financial Advisors Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Richard Sall of LPL Financial?

Richard Sall (CRD #1515945) who is currently registered with LPL Financial and located in Duluth, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Richard Sall was associated with Voya Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Richard Sall Customer Complaints

Richard Sall 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. One of Richard Sall’s 3 customer complaints was settled in favor of investors. Two of Richard Sall’s customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Richard Sall

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

  • Client alleged Richard Sall’s misrepresentation of variable annuity with regards to GMIB rider annuitization options.
  • Customer alleged he was misled by Richard Sall when purchasing variable annuity.
  • Customer felt that the information regarding the income feature of the variable annuity contract she purchased was not accurately explained by Richard Sall.

Richard Sall Red Flags & Your Rights As An Investor

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

If you have questions about LPL Financial, Voya Financial Advisors, and/or Richard Sall 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

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars
Loading...