Melanie Dawn Garcia, of Winter Haven, Florida, a stockbroker formerly registered with LPL Financial LLC, is the subject of a customer initiated investment related written complaint, which settled on August 10, 2016, for $3,115.92 in damages based upon allegations that made misrepresentations to the customer, effected unsuitable private securities transactions, and was liable for the customer’s poor investment results. The customer also alleged that LPL Financial, LLC failed to supervise Garcia’s activities.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that on June 30, 2014, another customer initiated investment related written complaint regarding Garcia’s activities was resolved for $2,273.94 in damages based upon allegations that Garcia forged the customer’s signatures to effect withdrawals relating to a business development company investment.
Garcia was fired by LPL Financial on April 24, 2014, based upon the customer’s allegations of Garcia’s forgery.
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