John Kennedy Ulwick of Fort Wayne, IN, a stockbroker registered with Lincoln Financial Advisors Corporation, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensation based upon allegations that Ulwick made unsuitable recommendations of oil and gas investments when Ulwick was associated with Lincoln Financial Advisors Corporation. Financial Industry Regulatory Authority (FINRA) Arbitration No. 22-00915 (April 27, 2022).
This is not the first time that Ulwick has been referenced in a customer initiated investment related dispute concerning Ulwick’s conduct in the securities industry. FINRA Public Disclosure shows that Ulwick was also referenced in a complaint filed on May 21, 2015, in which the customer requested compensation based upon allegations that Ulwick made unsuitable recommendations of real estate investment trusts during the period that Ulwick was associated with Lincoln Financial Advisors Corporation.
Ulwick was associated with Lincoln Financial Advisors Corporation in Waltham, MA, as a stockbroker from May of 2008 to October of 2016, and associated with Lincoln Financial Advisors Corporation in Fort Wayne, IN, as an investment advisor representative from October of 2008 to October of 2016.
Ulwick has been associated with LPL Financial LLC in Waltham, MA, as a stockbroker since October 7, 2016, and associated with Integrated Wealth Concepts LLC in Waltham, MA, as an investment advisor representative since October 17, 2016.
