Were you the victim of LPL Financial LLC broker Carolyn Wyatt (CRD# 4071929)? She has been registered with LPL Financial LLC in Glendora, California, since 2025. She was registered with Western International Securities in Glendora, California, from 2022 to 2025, M Stevens Wealth Advisors, LLC in Newport Beach, California, from 2018 to 2022, Kingswood Capital Partners, LLC in Newport Beach, California, from 2018 to 2022, Chalice Wealth Advisors in Costa Mesa, California, from July to September 2018, and Waddell & Reed in Sherman Oaks, California, from 2014 to 2018.
Carolyn Wyatt Customer Complaints
She has been the subject of one customer complaint, according to her CRD report:
October 2024. “Client claims the rep failed to conduct a reasonable due diligence on the security.” The customer sought $198,037 in damages, and the case was settled for $120,000. The complaint took place while she was registered with Kingswood Capital Partners, 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 Carolyn Wyatt’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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