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Brian Griffith, LPL Financial, Facing Customer Complaint

lpl-financialLPL Financial broker/adviser Brian Griffith, in Medford, Oregon, has a pending customer complaint. StockBrokerLawyer.com seeks to provide a free evaluation of any account losses suffered by customers of Brian Griffith and LPL

Brian Griffith has been in the financial advice industry over 30 years in the securities industry and has worked for LPL Financial in Medford, Oregon since 2001. He is a broker and financial adviser in seven states: Alaska, Arizona, California, Iowa, Oregon, Utah, and Washington. Even though Mr. Griffith is in Medford, Oregon for LPL Financial, he may have customers in other states–including California–who have suffered unnecessary losses in their accounts.

The pending customer complaint from December 2015 says that Brian Griffith, while employed at LPL Financial, made an unsuitable investment recommendation, committed fraud, breached his fiduciary duty, misrepresented material facts, and failed to supervise in connection to investments in variable annuities. That customer seeks $217,000 in damages in the complaint.

FINRA rules and federal securities law require brokers/advisors such as Brian Griffith to uphold a fiduciary duty that requires them to give advice that is only in their clients’ best interests. A broker/financial adviser can recommend only suitable investments that are consistent with the investor’s investment goals, investment experience, net worth, income, and risk tolerance. Brokers and investment advisers may not misrepresent or omit material facts related to an investment, as this might cause clients to invest unsuitably. Brokers and firms who violate the rules and regulations should bear disciplinary action from FINRA, the Securities and Exchange Commission, or state authorities, but those authorities act in a very very small portion of situations where investors are harmed. Discipline does not mean investors are even made whole. The real enforcement system is the private system, where the investor with significant losses contacts experienced securities attorneys, such as the attorneys at StockBrokerLawyer.com. As private attorneys, our efforts are focused on returning your lost capital.

If you have losses in your account, with this financial advisor, call (888) 986-7199 or write the investment recovery lawyers at StockBrokerLawyer.com for a free no-cost consultation. We can help recover your losses and seek other damages, too.

You can use the email form or chat on StockBrokerLawyer.com You may be entitled to recover your losses. We work on contingency: we are paid only when you are paid. Time is limited; delay is the favorite defense of the brokerage firms. Call 888-986-7199 now to speak to an attorney for a no cost evaluation.


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