Walter Frank Squires Jr., of Derby, Connecticut, a stockbroker registered with LPL Financial LLC, is the subject of a customer initiated investment related complaint filed on January 30, 2024, in which the customer requested damages based upon allegations that Squires made the unsuitable investment recommendation of alternative investments during the period that Squires was associated with LPL Financial LLC.
This is not the first time that Squires has been referenced in a customer initiated investment related dispute concerning Squires’s conduct in the securities industry. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Squires was also referenced in a customer initiated investment related complaint filed on February 4, 2021, in which the customer requested damages based upon allegations that Squires made the unsuitable investment recommendation of business development companies and real estate securities when Squires was associated with LPL Financial LLC. The complaint was denied.
Squires was associated with LPL Financial LLC in Derby, Connecticut from October 11, 2011, to March 17, 2020.
