Last Updated: October 2023 (Baton Rouge, LA)
Bill Poulter Investigation Summary
Here’s what you need to know about Baton Rouge, LA, stockbroker Bill Poulter:
- Name: Mr. William John Poulter
- Current Employer: LPL Financial
- DBA: Poulter Investment Advisors
- Previous Firms: CUNA Brokerage Services
- Function: Stock Broker/ Financial Advisor
- Aliases: Bill Poulter
- Primary Location: Baton Rouge, LA
- CRD 3248404
- Can Bill Poulter be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement : $20,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Bill Poulter As Your Stockbroker?
In 6/2022 a customer of LPL Financial was paid $20,000 to resolve allegations that Bill Poulter misrepresented unsuitable investments in illiquid REITs and a business development corporation (BDC) and charged improper fees and commissions between 2008-2022.
Alternative Investments: These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk. For more investigations involving Alternative Investments, see this.
Allegations of Broker Misconduct Against Bill Poulter
Customers of Bill Poulter have alleged the following wrongdoing in connection with the handling of customer accounts:
- Recommended illiquid alternative investments, including REITs and BDC
- Charged improper fees and commissions 2008-2022
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Bill Poulter, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
