Brent Van Lott, of Orem, Utah, a stockbroker formerly registered with LPL Financial LLC, has been subject to a customer initiated investment related arbitration claim on January 26, 2016, in which the customer requested $2,015,000.00 in damages based upon allegations that Lott effected trades in the customer’s account without the customer’s authorization.
On March 4, 2014, a customer filed an investment related arbitration action involving Lott’s conduct, in which the customer alleged that Lott forged the customer’s signature on certain documents which allowed Pacific Life insurance policies to be issued to the customer. Additionally, on December 30, 2013, a customer filed an investment related arbitration claim involving Lott’s actions, based upon allegations that Lott, as the selling agent for the customer’s contract, was potentially aware that a contract contained signatures of a customer that had not been authentic.
FINRA Public Disclosure reveals that on October 14, 2013, LPL Financial LLC terminated Lott’s registration based upon allegations that Lott had submitted applications for equity indexed annuities despite not having discussed such products with customers or ever meeting them. The firm additionally alleged that Lott violated the firm’s policies concerning signatures. Since October 28, 2013, Lott has been registered with Girard Securities, Inc.
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.
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