LPL Financial LLC broker Stacy Spearman (CRD# 3158108) regarding exchange-traded fund losses. She has been registered with LPL Financial LLC in Tupelo, Missouri, and Ridgeland, Missouri, since 2007.
Stacy Spearman Customer Complaints
She has been the subject of one customer complaint, according to his CRD report:
June 2023. “Alleged advisor made suspicious trades and transfers to accounts that do not belong to customer from 1/1/21 to 6/15/22.” The case is currently pending. The complaint is regarding exchange traded funds (ETFs).
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, LPL Financial LLC may be liable for investment or other losses suffered by Stacy Spearman’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
"*" indicates required fields
