| Read Time: 2 minutes | LPL Financial Complaints |


Steven Dean Of LPL Financial LLC, Northeast Planning Associates Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Steven Dean of LPL Financial LLC?

Steven Dean (CRD #2759263) who is currently registered with LPL Financial LLC, Northeast Planning Associates and located in Madison, Maine is a subject of one of our many securities industry sales practice abuse investigations.

Steven Dean Customer Complaints

Steven Dean has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Both of Steven Dean’s 2 customers’ complaints were settled in favor of investors.

Allegations Against Steven Dean

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

  • Claimant alleged Steven Dean recommended he invest in an unsuitable Business Development Company that ultimately caused him damages. Claimant alleged the details and risks of the investment were misrepresented to him.
  • The customer alleged unsuitable recommendation by Steven Dean.

Steven Dean Red Flags & Your Rights As An Investor

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

If you have questions about LPL Financial LLC and Northeast Planning Associates, and/or Steven Dean 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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars