There are options for clients of LPL Financial LLC broker Patricia Fleming (CRD# 1960175) who suffered investment losses. He has been registered with LPL Financial LLC in San Diego, California, since 2021. He was registered with Waddell & Reed in San Diego, California, from 1997 to 2021.
Patricia Fleming Customer Complaints
She has been the subject of one customer complaint, according to her CRD report:
July 2024. “Client alleges that certain mutual funds and ETFs purchased for his managed portfolio were not suitable the client. Time period: 2019-2024.” The customer is seeking $500,000 in damages, and the case is currently pending. The complaint was regarding mutual fund and exchange traded fund (ETF) losses. The complaint took place while he was registered with LPL Financial LLC and Waddell & Reed.
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 Patricia Fleming’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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