Peter Thomas Waldron of San Francisco California a stockbroker currently employed by Lincoln Financial Advisors Corporation is the subject of a customer initiated investment related written complaint on August 15, 2018 where the customer requested damages estimated to exceed $5,000.00 based upon allegations that Waldron failed to provide the customer with correct information regarding financial planning fees and advisor fees at the time the customer signed up for the firm’s advisory services.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Waldron has been identified in two additional customer initiated investment related disputes containing accusations of his violative conduct during the time that he was associated with Lincoln Financial Advisors. Specifically, on July 7, 2014, a customer filed an investment related complaint concerning Waldron’s activities in which the customer sought damages estimated to exceed $5,000.00 supported by allegations that Waldron was sold real estate security and insurance products that were not consistent with the customer’s objectives for investing and financial needs.
Then, a customer initiated investment related arbitration claim involving Waldron’s activities was settled for $40,000.00 in damages founded on accusations that Waldron gave the customer bad investment advice regarding mutual funds and asset managed accounts, failing to invest the customer’s funds in a manner which reflected the customer’s objectives for investing. FINRA Arbitration No. 16-02525 (Feb. 15, 2018).
Waldron has been registered with Lincoln Financial Advisors Corporation since September 24, 2004.
