National investment loss lawyers KlaymanToskes is investigating broker Alison Fleming a/k/a Patricia Alison Fleming of LPL Financial and formerly of Wadell & Reed (CRD# 1960175).
According to FINRA BrokerCheck, Alison Fleming a/k/a Patricia Alison Fleming of LPL Financial, and formerly of Wadell & Reed, is facing a customer complaint seeking $500,000 in damages for allegedly recommending unsuitable mutual funds and ETFs in a managed portfolio between 2019 and 2024.
Investors that suffered losses with broker Alison Fleming are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Alison Fleming, a/k/a Patricia Alison Fleming, a financial adviser registered with LPL Financial, is the subject of a customer complaint alleging $500,000 in damages in connection with certain mutual funds and ETFs that were purchased for the customer’s managed portfolio that were unsuitable for the client.
According to FINRA BrokerCheck, Alison Fleming is currently registered with LPL Financial in San Diego, CA. Fleming was previously registered with Waddell & Reed until July 2021 in San Diego, CA.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. 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.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances 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 Alison Fleming a/k/a Patricia Alison Fleming, or have concerns regarding your investment portfolio at LPL Financial, Waddell & Reed, or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.