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William Saplicki Of LPL Financial And Formerly With First Allied Securities And First Allied Advisory Services Has 2 Customer Complaints For Alleged Broker Misconduct

Who is William Saplicki of LPL Financial?

William Saplicki (CRD #4034795) who is currently registered with LPL Financial and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, William Saplicki was associated with First Allied Securities, First Allied Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

William Saplicki Customer Complaints

William Saplicki 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 William Saplicki’s customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against William Saplicki

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

  • William Saplicki made unsuitable recommendations and failed to disclose the risks of certain investments. The former client generally alleged breach of duties of care and fiduciary duty including the duties of care and loyalty; unsuitability; and misrepresentation.
  • Client alleged that William Saplicki’s investment recommendation to invest into an alternative product was unsuitable.

William Saplicki Red Flags & Your Rights As An Investor

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

If you have questions about LPL Financial, First Allied Securities, First Allied Advisory Services, and/or William Saplicki 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.

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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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