Brian Jesse Singleton, based in Pocatello, Idaho, a stockbroker registered with LPL Financial LLC, was the subject of a customer-initiated investment related FINRA securities arbitration claim that was settled for $14,999.00 in damages. The claim alleged that Singleton misrepresented the risk of a structured note that was purchased by the customer during the time that Singleton was associated with LPL Financial LLC. Financial Industry Regulatory Authority (FINRA) Arbitration No. 21-02953 (March 24, 2023).
This is not the first time that Singleton has been referenced in a customer-initiated investment related dispute concerning his conduct in the securities industry. FINRA Public Disclosure shows that Singleton was also referenced in a customer-initiated investment related complaint that was settled on February 23, 2009, for $27,130.97 in damages. The complaint alleged that Singleton misrepresented the features of a variable annuity while he was associated with CUNA Brokerage Services Inc.
Singleton was also referenced in a customer-initiated investment related complaint filed on July 30, 2009, in which the customer requested compensatory damages for alleged misrepresentation of an annuity product. The complaint alleged that the CUNA Brokerage Services Inc. customer was told that the annuity was a safe investment that would not decline in value. This complaint was denied.
Singleton has been associated with Ameriprise Financial Services LLC in Pocatello, Idaho, since September 8, 2023. Singleton was associated with LPL Financial LLC in Pocatello, Idaho, from December 23, 2009, to October 5, 2023.