Joseph Alan Likens, of Des Peres, Missouri, a stockbroker formerly registered with LPL Financial LLC, has been named in a customer initiated investment related arbitration claim, which settled on March 20, 2017, for $92,000.00 in damages based upon allegations that Likens made unsuitable investment recommendations and misrepresentations to the customer, and sold securities to the customer outside the auspices of his firm.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that on March 14, 2017, a customer filed an investment related written complaint involving Likens’ conduct, where the customer requested more than $5,000.00 in damages based upon allegations against Likens of misrepresentation and selling away.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
