Gary Needham of Manchester by the Sea Massachusetts a stockbroker formerly registered with LPL Financial LLC is referenced in a customer initiated investment related complaint where the customer sought $433,452.00 in damages on October 3, 2017 founded on accusations that (1) the customer suffered unwarranted poor performance on investments and (2) excessive stock trades were executed in the customer’s account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on September 7, 2017, a customer initiated investment related complaint concerning Needham’s conduct was settled for $24,166.00 in damages supported by allegations that unauthorized equity trades were effected in the customer’s account.
Needham’s registration with LPL Financial LLC has been terminated on March 28, 2017. Between March 17, 2017 and May 9, 2017, Needham was associated with Raymond James Financial Services, Inc.
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