Investors potentially experienced sales practice violations by securities broker Douglas Robert Fisher [CRD: 3196973, Grand Rapids, Michigan], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Fisher worked for LPL Financial LLC from February 23, 2009, to November 25, 2020. Keep reading to learn more about Fisher’s disclosures.
Evidently, a client filed a complaint about Douglas Fisher. Primarily, the client alleged that Fisher made omissions related to the sale of real estate investment trusts (REITs). For this reason, the client allegedly incurred damages. Therefore, on April 18, 2024 LPL Financial LLC settled this matter by paying the client $15,000 in damages.
Also, a client of LPL Financial contested Douglas Fisher’s sales practices, according to a complaint dated June 12, 2015. Allegedly, Fisher committed forgery and withdrew client funds without authorization. It appears that Fisher allegedly caused the client to sustain damages involving a bank CD and a brokerage IRA. Consequently, the client sought compensation from LPL Financial or Fisher in this matter. However, this complaint closed without a resolution.
Do you have concerns or questions regarding investments you made with Douglas Fisher? You can contact Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the US. Also, our securities attorneys work on a contingency fee arrangement and advance all costs. Fisher and brokerage firms Fisher worked for deny accusations of sales practice violations.
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Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
Investors potentially incurred losses because of securities broker Raymond Trey Brown [CRD: 6170291, Frisco, Texas], and FINRA sanctioned him, according to disclosures on FINRA BrokerCheck. Brown worked for Northwestern Mutual Investment Services LLC, from March 17, 2014, to December 13, 2024. See below to learn more about Brown’s disclosures. FINRA Sanctioned Raymond Brown For Failure […]
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