Last Updated: November 2023 (Madison, WI)
John Locke Investigation Summary
Here’s what you need to know about Madison, WI, stockbroker John Locke:
- Name: Mr. John A. Locke
- Current Employer: Harbour Investments
- DBA: JL3 Financial
- Previous Firms: LPL Financial, Northwestern Mutual Investment
- Function: Stock Broker/ Financial Advisor
- Aliases: John Locke
- Primary Location: Madison, WI
- CRD 5566294
- Can John Locke be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discharged by a prior employer: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With John Locke As Your Stockbroker?
John Locke was discharged by LPL Financial in 9/2023 where he had been employed since 2015. LPL Financial made this allegation on his FINRA record: “Attempted to resolve client grievance outside of approved Firm channels.”
The policy manuals of virtually every brokerage firm prohibit brokers from trying to settle customer disputes directly with the customer and require the broker to notify the firm if the client has a complaint.
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
If you have suffered investment losses in an account handled by John Locke, 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.
