William “Bill” Poulter Investigation
May 2022- Baton Rouge, LA
According to publicly available records, William John Poulter, an LPL Financial broker discloses a pending customer dispute.
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.
In 11/2021, a customer of Poulter Investment Advisors, the dba forLPL Financial, filed a customer dispute alleging misrepresentation and suitability related to Poulter’s recommendation to invest in illiquid real estate investment trusts (REITs) and a business development company (BDC). The customer seeks damages of $101,735 and the case is still pending.
Poulter has been a registered representative of LPL Financial since 6/2002.
If you had an account with William “Bill” Poulter that suffered losses, you may be entitled to collect damages from his employer. Call to discuss your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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