Polly Marie Stoecklein (also known as Polly Marie Ison), of Manhattan, Kansas, a stockbroker registered with Independent Advisor Alliance, is the subject of a customer initiated investment related complaint on May 31, 2022 in which the customer requested $80,000.00 in damages based upon allegations that Stoecklein made unsuitable recommendations in connection with the sale of common stocks and preferred stocks when Stoecklein was associated with Independent Advisor Alliance.
This is not the first time that Stoecklein has been referenced in a customer initiated investment related dispute concerning Stoecklein’s conduct in the securities industry. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Stoecklein is also referenced in a customer initiated investment related complaint on August 22, 2008 in which the customer requested compensatory damages based upon allegations that Stoecklein committed sales practice violations relating to the recommendation and sale of variable annuities when Stoecklein was associated with New England Securities.
Polly Stoecklein was associated with LPL Financial LLC in Manhattan, KS, as a stockbroker from November 16, 2012 to August 22, 2022. Stoecklein has been associated with Vanderbilt Securities LLC in Manhattan, KS, as a stockbroker since August 15, 2022. She has also been associated with Consolidated Portfolio Review Corp in Manhattan, KS, as an investment advisor representative since August 15, 2022.
