Former LPL Financial LLC Brokers Kristine Hartland and Bob Hartland Investment Loss Options
Posted on Monday, August 9th, 2021 at 6:20 pm
Kristine Hartland has been registered with Ameriprise Financial Services, LLC in Edina, Minnesota since 2016. Previously, Kristine Harland was registered with LPL Financial LLC in Largo, Florida from 2002 to 2016.
Bob Hartland has been registered with Ameriprise Financial Services, LLC in Edina, Minnesota since 2016. Previously, Bob Harland was registered with LPL Financial LLC in Largo, Florida from 2003 to 2016.
Kristine Hartland has been the subject of two customer complaints between 2014 and 2021, one of which was denied, according to her CRD report:
April 2021. “Claimants allege that they were recommended unsuitable, high-commission, illiquid alternative investments including FS Energy and CNL Healthcare, that were initially purchased at LPL.” The customer is seeking $950,000 in damages and the case is currently pending. The complaint was regarding real estate securities, unit investment trust (UITs), and business development companies (BDCs).
Bob Hartland has been the subject of one customer complaint in 2021, in conjunction with Kristine Hartland, as outlined above.
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 Hartland’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.