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Scott Williams Formerly With LPL Financial LLC Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Scott Williams formerly with LPL Financial LLC?

Scott Williams

Scott Williams (CRD #2330693) who was formerly registered with LPL Financial LLC and located in Franklin, Tennessee, is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Scott Williams was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Scott Williams has been suspended by FINRA for failure to pay an arbitration award

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Scott Williams Customer Complaints

Scott Williams has been the subject of 3 customer complaints that we know about to recover investment losses. Two of the customer complaints evidence settled by Scott Williams former employers in favor of the investor. The other customer complaint was denied and the investor took no further action.

Allegations Against Scott Williams

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

  • Failure to monitor customer’s account.
  • Churning in unsuitable investment in individual equities and stocks resulting in excessive omissions.
  • Unsuitable recommendations and concentration of the investments in portfolio.

Scott Williams Red Flags & Your Rights As An Investor

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

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 Scott Williams

If you have questions about LPL Financial LLC and/or Scott Williams 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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