| Read Time: 2 minutes | LPL Financial Complaints |

DID THOMAS MARK GRIFFITHS CAUSE YOU INVESTMENT LOSSES?

Thomas Griffiths Of LPL Financial And Great Valley Advisor Group Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Thomas Griffiths of LPL Financial?

Thomas Griffiths (CRD #2106304) who is currently registered with LPL Financial, Great Valley Advisor Group and located in Newtown, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations.

Thomas Griffiths Customer Complaints

Thomas Griffiths 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. One of Thomas Griffiths’ customers’ complaints was denied and, to date, the customers have not taken any further action.  There is currently one pending customer complaint filed against LPL Financial for investment losses caused by Thomas Griffiths’ alleged misconduct.

Allegations Against Thomas Griffiths

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

  • Claimants alleged that they purchased non-conventional products that were risky at the recommendation of Thomas Griffiths.
  • Pennsylvania client stated that he felt his ING Golden Select Variable annuity allegedly made by Thomas Griffiths was not a good investment choice for him.

Thomas Griffiths Red Flags & Your Rights As An Investor

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

If you have questions about LPL Financial and Great Valley Advisor Group, and/or Thomas Griffiths 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...