LPL Financial LLC Broker William Poulter Investment Loss Options

LPL Financial LLC

There are options for customers of LPL Financial LLC broker William Poulter (CRD# 3248404) who suffered REIT investment losses. He has been registered with LPL Financial LLC in Baton Rouge, Louisiana since 2002. 

William Poulter Customer Complaints

He has been the subject of one customer complaint, according to his CRD report:

November 2021. “The client alleges misrepresentation and suitability issues concerning the advisor’s advice to purchase illiquid REITs and a BDC.” The customer is seeking $101,735 in damages and the case is currently pending. The complaint was regarding business development companies (BDCs) and real estate securities, and it took place while he was registered with Poulter Investment Advisers (dba 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 William Poulter’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.