Last Updated: April 2024 (Appleton, WI)
Erik Pinter Investigation Summary
Here’s what you need to know about Appleton, WI, stockbroker Erik Pinter:
- Name: Mr. Erik C. Pinter
- Current Employer: LPL Financial
- DBA: Old National Investments
- Previous Firms: UVest Financial Services Group
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Erik Pinter
- Primary Location: Appleton, WI
- CRD 3104704
- Can Erik Pinter be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Erik Pinter As Your Stockbroker?
In 1/2024 a customer of LPL Financial filed a FINRA arbitration alleging that Erik Pinter recommended investments in real estate securities during 2013 that were not suitable for the customer’s investment objectives and risk tolerance. Damages have not yet been specified in this currently pending matter.
[LEARN MORE]: See this for more information on REITs and Other Alternative Investments
Alternative Investments: These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk.
Allegations of Broker Misconduct Against Erik Pinter
A customer of Erik Pinter has alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations
- Recommendations did not align with customer’s risk tolerance and investment objectives
[LEARN MORE]: Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
[LEARN MORE]: FINRA Rule 2111- suitability
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
[LEARN MORE]: Investigation of LPL Financial and LPL Brokers
If you have suffered investment losses in an account handled by Erik Pinter, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
