Category Archives: LPL Financial

AXA Advisors, LPL Financial, Misrepresentation, Stockbroker Malpractice, StockBroker Misconduct, Unsuitable Investments

Celia Mae Scott-LPL Financial Broker- Discloses Settlement of Customer Dispute-Beaumont, TX

November 2018-Beaumont, TX

According to publicly available records Celia Mae Scott , (CRD# 2870484) ,  a  stockbroker who was previously registered with AXA Advisors,  disclose the settlement of a 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  1/2018 a customer of AXA Advisors,  was paid $60,000 to resolve allegations that  Scott  misrepresented an annuity that he  sold to the customer.

Scott was employed by AXA Advisors from December 2007 until January of 2016.   She has been employed by LPL Financial Services since 12/2015. Scott discloses  business affiliations with Good LIfe Advisors and Scott Wealth Management, both in Beaumont, TX.

If you have losses in an account in an account handled by Celia Mae Scott, contact us for a no charge consultation to learn how you may be able to recover damages from his employer through FINRA arbitration.

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Churning, HilltopSecurities (formerly Southwest Securities), LPL Financial, Southwest Securities (now Hilltop Securities), Stockbroker Malpractice, StockBroker Misconduct, Unsuitable Investments

Bradley Scott-LPL Financial Broker- Discloses $1.4 Million Customer Settlement- Mansfield, TX

November 2018-Mansfield, TX

According to publicly available records Bradley Kyle Scott , (CRD# 4381014) ,  a  stockbroker who currently employed by LPL Financial who was previously registered with Southwest Securities, Inc., (now Hilltop Securities)   disclose the settlement of a customer dispute for $1.4 million.

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 August 2016, a customer of  Southwest Securities, Inc., who filed FINRA Case 15-2556 alleging  unauthorized discretion and trading, unsuitable investments, poor performance and misrepresentation, was paid $1.4 million to settle the case. Scott contributed $250,000 personally to the settlement.

Scott was employed by Southwest Securities, Inc. from April 2009 until September 2015.   He has been employed by LPL Financial Services since 8/2015. Scott discloses a business affiliation with Rushing Scott Wealth Management in Mansfield, TX.

If you have losses in an account in an account handled by Bradley Kyle Scott, contact us for a no charge consultation to learn how you may be able to recover damages from his employer through FINRA arbitration.

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Cetera Advisors, Cetera Financial Group, LPL Financial, Stockbroker Malpractice, StockBroker Misconduct

Bradley Allen Bowman-Prior Cetera Investments Services Broker-Discloses 400K Customer Dispute- Sugarland TX

November 2018-Sugarland, TX

According to publicly available records Bradley Allen Bowman , (CRD# 2898756) ,  a  stockbroker currently employed by LPL Finanical who was previously registered with Cetera Investment Services,  disclose a pending $400,000 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 January of 2018, a customer of  Cetera Investment Services,  filed FINRA case #18-0177 alleging  that Bowman did nothing to mitigate the collapse of their portfolios.    The customer is seeking damages of $400,000 in this pending matter.

Bowman was employed by Cetera Investment Services from April 2009 until October 2016.   He has been employed by LPL Financial Services since 10/2016. Bowman discloses a business affiliation with Intrua Financial in Houston, TX.

If you have losses in an account in an account handled by Bradley Allen Bowman, contact us for a no charge consultation to learn how you may be able to recover damages from his employer through FINRA arbitration.

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Churning, LPL Financial, Raymond James, Stockbroker Malpractice, StockBroker Misconduct, Unsuitable Investments

Cecil Allen Ross- LPL Financial Broker- Discloses Customer Dispute- San Angelo, TX

November 2018-San Angelo, TX

According to publicly available records Cecil Allen Ross , (CRD# 2391047) ,  a  stockbroker who was previously registered with Raymond James Financial Services, Inc.,  disclose a prior 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 October of 2015 a customer of Raymond James Financial Services, Inc.,  was awarded $100,000 by a FINRA arbitration panel to resolve allegations that Ross had sold unsuitable investments and engaged in excessive trading. FINRA Case 14-2745.

Ross was employed by Raymond James Financial Services from August 2004 until October 2014.   He has been employed by LPL Financial Services since 9/2014.

If you have losses in an account in an account handled by Cecil Allen Ross, contact us for a no charge consultation to learn how you may be able to recover damages from his employer through FINRA arbitration.

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Annuities, Churning, Failure to Supervise, LPL Financial, SII Investments Inc., Stockbroker Malpractice, StockBroker Misconduct, Unsuitable Investments

Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI

October 2018 – Eau Claire, WI

According to publicly available records Gary Lee Miller   (CRD#2669776) ,  a  former stockbroker who was last employed by LPL Financial ,  disclose a settled 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 January of 2017, a customer of SII Investments and LPL Financial,  filed FINRA case #17-032  alleging that Miller recommended frequent switching of unsuitable variable annuities.    That case was settled for $275,000.

Gary Lee Miller worked for SII Investments from  October of 1998 until October of 2014 and was employed by LPL Financial from October 2014 until May of 2016. Miller also discloses a business affiliation with Mutual Financial Group and Mutual Insurance Group.

If you have questions about an investment account handled by Gary Lee Miller, contact us for a no charge consultation to learn about your legal 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870