Last Updated: February 2025, Waltham, MA
John K. Ulwick Investigation Summary
Here’s what you need to know about Waltham, MA, stockbroker John K. Ulwick:
- Name: Mr. John Kennedy Ulwick
- Current Employer: LPL Financial LLC, Integrated Wealth Concepts (RIA)
- DBA: Integrated Wealth Concepts
- Prior Employers: Lincoln Financial Advisors Corporation, Ameriprise Financial Services, Inc., IDS Life Insurance Company, John Hancock Distributors, Inc.
- Function: Stockbroker / Registered Investment Advisor
- Aliases: John Ulwick
- Primary Location: Waltham, MA
- CRD#: 1758865
- Can John Ulwick be sued in FINRA arbitration? Yes
- Sanctioned by FINRA? No
- Highest Settlement or Award: $15,739 (oil and gas investment)
- Pending Customer Dispute Seeks Damages of: $70,000 (oil and gas investment)
If you’ve sustained damages from Mr. Ulwick, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With John Ulwick As Your Stockbroker?
A customer of Lincoln Financial Advisors Corporation was paid $15,739 in October 2023 to resolve allegations that John Ulwick recommended an unsuitable oil & gas investment.
In a currently pending case, a customer of Lincoln Financial Advisors is seeking $70,000 in damages, alleging that Ulwick recommended an unsuitable investment in oil & gas investments. This case is pending before FINRA arbitration, case number 24-02312.
See this for more information on REITs and Other Alternative Investments
Allegations of Broker Misconduct Against John Ulwick
Customers of John Ulwick have alleged the following wrongdoing in connection with the handling of investment accounts:
- Unsuitable Investment Recommendations: Customers claim that Ulwick recommended risky and unsuitable oil & gas investments, which resulted in substantial financial losses. (Violates FINRA Rule 2111 – Suitability Standard).
- Failure to Conduct Due Diligence: Investors alleged that Ulwick failed to perform adequate due diligence on investments before making recommendations. (Violates FINRA Rule 3110 – Supervision).
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, disputes, and regulatory sanctions. In addition, brokers must disclose certain financial matters such as bankruptcies, judgments, and liens.
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. For more investigations involving Alternative Investments, see this.
Recover Your Investment Losses Now With Rex Securities Law
Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes
Our investigations of other Lincoln Financial Securities brokers
If you have suffered investment losses in an account handled by John K. Ulwick, 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.