DID THOMAS POLITO CAUSE YOU INVESTMENT LOSSES?
Thomas Polito Of LPL Financial LLC And Formerly With Capital One Investing, Capital One Advisors And Capital One Financial Advisors Has One Customer Complaint For Alleged Broker Misconduct
Who is Thomas Polito of LPL Financial?
Thomas Polito (CRD #2601033) who is currently registered with LPL Financial LLC and located in Woodbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Thomas Polito was associated with Capital One Investing, Capital One Advisors, Capital One Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Thomas Polito Customer Complaint
Thomas Polito 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 that the complainant, the customer’s son, alleged his mother’s investment was not suitable for her. He further alleged the financial advisor violated several industry ethical standards by recommending this product to his mother. Thomas Polito’s customer complaint was denied and, to date, the customer has not taken any further action.
Thomas Polito Red Flags & Your Rights As An Investor
Of course, Thomas Polito 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 Polito at LPL Financial LLC, Capital One Investing, Capital One Advisors, Capital One Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Thomas Polito has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC, Capital One Investing, Capital One Advisors, Capital One Financial Advisors 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 Thomas Polito
If you have questions about LPL Financial LLC, Capital One Investing, Capital One Advisors, Capital One Financial Advisors, and/or Thomas Polito 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.