| Read Time: 2 minutes | LPL Financial Complaints |

DID WILLIAM O BAUMBERGER CAUSE YOU INVESTMENT LOSSES?

William Baumberger Of LPL Financial Has 2 Customer Complaints For Alleged Broker Misconduct

Who is William Baumberger of LPL Financial?

William Baumberger (CRD #4121843) who is currently registered with LPL Financial and located in Evansville, Indiana is a subject of one of our many securities industry sales practice abuse investigations.

William Baumberger Customer Complaints

William Baumberger has been the subject of 2 customer complaints that we know about.  Both of William Baumberger’s customers’ complaints were denied and, to date, the customers had not taken any further action.

Allegations Against William Baumberger

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

  • Customer alleged William Baumberger’s misrepresentation regarding variable annuity.
  • Customer of Fifth Third Bank alleges William Baumberger gave poor recommendation/advice not to buy equity listed security.

William Baumberger Red Flags & Your Rights As An Investor

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

If you have questions about LPL Financial and/or William Baumberger 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 $140 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
Loading...