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How to Bring a Claim Against Former LPL Financial LLC Broker Christopher Watkins

Posted on Wednesday, October 30th, 2019 at 9:22 am    

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Were you the victim of former LPL Financial LLC broker Christopher Watkins (CRD# 4456445) who is alleged to make unsuitable investment recommendations?

Watkins has been registered with Silver Oak Securities, Incorporated in Louisville, Kentucky since December 2018. Previously, Watkins was registered with LPL Financial LLC in Louisville, Kentucky from 2011 to 2018, when he was terminated regarding, “Facilitated the distribution of advisory fee monies to an unregistered person.”

Watkins has been the subject of one customer complaints in 2019, according to his CRD report:

August 2019. “Recommended unsuitable investments.” The customer is seeking $115,000 in damages and the case is currently pending. The complaint is regarding real estate investment trusts (REITs) and energy funds and took place while Watkins was employed by 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 Watkins’ customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and 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.