July 2018-Clearwater, Florida
The FINRA records of Shon E. Flaharty, a stock broker who is currently employed by LPL Financial, disclose a currently 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 the currently pending matter , a customer of LPL Financial seeks damages of $566,320 and alleges that Flaharty over concentrated their account with unsuitable ETF investments.
Flaharty has worked for LPL Financial since 9/2007 and operates Flaharty Asset Management in Clearwater, FL.
If you have losses in an account handled or supervised by Shon Flaharty call for a no charge consultation to discuss your legal options for recovery.
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.
Florida-561 391 1900