Timothy Connor Investigation
June 2023 – Redwood City, CA
According to publicly available records Timothy Connor, of LPL Financial , discloses a pending customer dispute.
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.
In FINRA case # 23-00387, a customer of Connor’s prior employer, First Allied Securities, Inc., alleges that Connor made unsuitable recommendations during the period of January 2018 to June 2021. A damage amount is not specified. This case is currently pending.
Connor has been employed with LPL Financial since 6/2021.Before that time he was with Cetera Investment Advisors, First Allied Securities, Inc. and Transamerica Financial Advisors. Connor discloses business affiliations with Rejuvenate Your Retirement Seminars and McKinley Financial Group.
If you have losses in an account that was handled by Timothy Connor contact us for a no charge consultation to learn how you may be entitled to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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