Securities Lawyers Blog
The securities attorneys at Gana Weinstein LLP are investigating claims against LPL Financial broker Stephen Garrett (Garrett). According to BrokerCheck records, Garret has been subject to two customer complaints.
Most recently, In February 2014, a customer alleged inappropriate investments and options trading in volatile stocks concentrated in the oil and energy sector and inconsistent with customer’s investment objectives. This dispute settled for $62,500.
Our firm handles claims and is also investigating securities claims against brokerage firms over sales practices related to the recommendations of oil & gas and commodities products such as exchange traded notes (ETNs), structured notes, private placements, master limited partnerships (MLPs), leveraged ETFs, mutual funds, and individual stocks.