Were you the victim of LPL Financial LLC broker Joanna Westcott (CRD# 1187278)? He has been registered with LPL Financial LLC in Tucson, Arizona, since 2002.
Joanna Westcott Customer Complaints
She has been the subject of one customer complaint, according to her CRD report:
November 2023. “Claimant alleges that during the time period September 2019 to February 2023, representative made unsuitable investment recommendations.” The case is currently pending. The complaint was regarding common and preferred stocks and exchange traded funds (ETFs), and it took place while he was registered with LPL Financial LLC.
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 Joanna Westcott’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.
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