Joeann Mitchell Walker, of Brockton, Massachusetts, a stockbroker formerly registered with LPL Financial LLC, is the subject of a customer initiated investment related complaint, which settled on November 15, 2016, for $175,000.00 in damages based upon allegations of unsuitability regarding variable annuities, and unauthorized trading concerning the purchases and sales of mutual funds and stocks from 2014 to 2015.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Walker has been identified in two more customer initiated investment related disputes pertaining to allegations of her misconduct while she was registered with Commonwealth Financial Network and American Express Financial Advisors.
Particularly, a customer initiated investment related complaint concerning Walker’s activities was settled on April 15, 1999, for $14,379.46 in damages supported by allegations of omissions concerning tax implications of surrendering a variable annuity. Another customer initiated investment related complaint regarding the Walker’s activities has been settled on July 7, 2005, for $9,900.00 in damages founded on accusations of excessive mutual fund turnover in the customer’s account.
Since April 18, 2015, Walker has been associated with Next Financial Group, Inc.
Guiliano Law Group
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