Investors potentially experienced sales practice violations by securities broker Garth James Lurvey [CRD: 4729301, Winter Park, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Garth Lurvey worked for LPL Financial LLC from December 15, 2016, to March 17, 2022, and later for Private Client Services LLC from March 14, 2022, to December 9, 2024. Investors can see below to discover more about these disclosures.
Evidently, an LPL Financial LLC client filed FINRA Arbitration No. 23-02258 concerning Garth Lurvey. Primarily, the client alleged that Lurvey made misrepresentations and engaged in unsuitable recommendations. Because of this, the client allegedly incurred damages involving structured products. Therefore, on July 31, 2024 LPL Financial LLC settled this matter by paying the client $120,000 in damages.
Particularly, a client filed a complaint about Garth Lurvey. Mainly, the client alleged that Lurvey made misrepresentations. For this reason, the client allegedly sustained damages relating to unit investment trusts. However, on February 9, 2011, SunTrust Investment Services Inc. denied this complaint.
Also, a client of SunTrust Investment Services Inc. disputed Garth Lurvey’s sales practices, according to a complaint dated March 18, 2014. Allegedly, Lurvey made unsuitable recommendations. It appears that Lurvey allegedly caused the client to experience damages associated with unit investment trusts. As a result, the client sought compensation from SunTrust Investment Services Inc. or Lurvey in the amount of $12,156.43. The firm settled this matter on April 17, 2014, for $5,000 in damages.
Did you experience losses because of Garth Lurvey? You can contact Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee arrangement and advances all costs. Lurvey and brokerage firms Lurvey worked for deny allegations of sales practice violations.
Investors apparently complained about securities broker Rainer Rudi Hohlbein (also known as Rainer Rudi Hohlbeim) [CRD: 1282146, Verona, Wisconsin], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hohlbein worked for LPL Financial LLC from October 11, 2011, to October 13, 2021. See the following information to find out more about the disclosures involving […]
Investors potentially incurred losses because of securities broker Timothy Richard Farris [CRD: 2178521, West Bloomfield, Michigan], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Farris worked for Sigma Financial Corporation from May 15, 2015, to December 17, 2021, SPC from November 15, 2021, to December 17, 2021, and Cetera Advisors […]
Investors potentially experienced sales practice violations by securities broker Christopher Daniel Tully [CRD: 870889, New Rochelle, New York], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Tully worked for Oppenheimer Co. Inc. from February 17, 2009, and has remained registered with the firm since November 18, 2011. Read on for […]
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