William Perry Randall of Rockford, Illinois, a stockbroker registered with LPL Financial LLC, is the subject of a customer initiated investment related complaint that was settled on March 10, 2021 based upon allegations that Randall breached his fiduciary duties, and failed to supervise the sale of the FS Energy & Power Fund during his asssociation with LPL Financial LLC.
This is not the first time that Randall has been referenced in a customer initiated investment related dispute concerning Randall’s conduct in the securities industry. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Randall is also referenced in a customer initiated investment related complaint that was settled on October 22, 2002 for $3,000.00 in damages based upon allegations that Randall made unsuitable transactions and failed to supervise relating to the recommendation and sale of corporate bonds when Randall was associated with First Union Securities Inc.
William Randall was associated with LPL Financial LLC in Rockford, IL, as a stockbroker from September 12, 2005 to June 18, 2020, and as an investment advisor representative from September 13, 2005 to June 18, 2020. Randall has been associated with Cambridge Investment Research Advisors Inc. in West Bend, WI, as an investment advisor representative and as a stockbroker since June 3, 2020.