William Frank Welsh of Williamsville New York a stockbroker currently employed by LPL Financial LLC is the subject of a customer initiated investment related written complaint on November 14, 2016 where the customer requested damages estimated to exceed $5,000.00 founded on accusations that Welsh was placed into an indexed annuity that was not suitable for the customer.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that Welsh was subject of a customer initiated investment related arbitration claim where the customer was awarded $8,652.50 in damages based on Welsh being found liable on the customer’s claims of the failure to execute the customer’s sale of eleven thousand shares of Scan Graphics from the customer’s investment account. National Association of Securities Dealers (NASD) Arbitration No. 01-04440 (Mar. 28, 2002).
Welsh was registered with LPL Financial LLC between May 15, 2012 and September 21, 2016, and became re-registered at LPL Financial on November 16, 2018.
