DID SAMUEL PHILLIPS CAUSE YOU INVESTMENT LOSSES?
Samuel Phillips Of LPL Financial LLC And Formerly With Invest Financial Has One Customer Complaint For Alleged Broker Misconduct
Who is Samuel Phillips of LPL Financial LLC?
Samuel Phillips (CRD #2486976) who is currently registered with LPL Financial LLC and located in Lemoyne, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Samuel Phillips was associated with Invest Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Samuel Phillips Customer Complaint
Samuel Phillips has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the customer alleged that she was not advised about breakpoints or the option to invest in an advisory account, and sought recovery of sales charges for the purchase of Class A shares. Samuel Phillips’ customer complaint was denied and, to date, the customer has not taken any further action.
Samuel Phillips Red Flags & Your Rights As An Investor
Of course, Samuel Phillips 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 Samuel Phillips at LPL Financial LLC and Invest Financial on alert to review carefully the activity and performance of their accounts and question whether Samuel Phillips has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Invest Financial also raises questions about the brokerage firm’s 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 Due To Samuel Phillips
If you have questions about LPL Financial LLC, Invest Financial, and/or Samuel Phillips 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.