National investment loss lawyers KlaymanToskes is investigating broker John Locke (CRD# 5566294) of LPL Financial who has been terminated from the firm following his alleged violation of FINRA rules and firm policy by attempting to resolve a client grievance outside of approved firm channels.
According to FINRA BrokerCheck, broker John Locke was registered with LPL Financial from 2015 to 2023, when he was terminated due to allegations concerning violations of firm policy. Locke is currently registered as a broker with Harbour Investments in Madison, WI.
Investors that suffered losses with broker John Locke are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at lawrence@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
KlaymanToskes is a leading national investment loss law firm that represents the interests of investors throughout the world who have suffered losses due to broker misconduct, investment fraud, and securities violations.
The articles linked below contain important information relating to KlaymanToskes’ investigation of broker John Locke:
If you suffered losses with broker John Locke, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.
The firm has helped recover over $600 million* for investors, and can help you determine if your loss is due to financial advisor misconduct, unsuitable investment advice, and/or other securities violations.
*Exclusive of attorney’s fees and costs.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker John Locke. These signs could potentially indicate misrepresentation, omission, negligence, or misconduct. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
According to FINRA, brokerage firms such as LPL Financial are responsible for the supervision of all of the activities of their registered brokers and investment advisors. Investors may be entitled to a financial recovery if their brokerage firm failed to supervise the representative managing their brokerage account, and/or if their broker/advisor made unsuitable investment recommendations.
Engaging the services of an experienced securities attorney to evaluate the specific circumstances of your case is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker John Locke, or have concerns regarding your investment portfolio at LPL Financial and/or Harbour Investments. Inc., contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation to discuss recovery options.