Investors have reportedly disputed the sales practices of securities broker Gina G. Francisco (also known as Gina Agness and Gina Winters) [CRD: 4490144, Ocala, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Francisco has been registered with LPL Financial LLC from August 21, 2018, to the present in various Florida and Georgia branch locations, and additionally registered as an investment adviser with LPL Financial LLC since August 22, 2018. Read on to learn more about Francisco’s disclosures.
Specifically, an LPL Financial client filed FINRA Arbitration No. 23-02589 about Gina Francisco. Mainly, the client alleged that Francisco made unsuitable recommendations of an alternative investment. For this reason, the client allegedly incurred damages. Consequently, on August 26, 2024 LPL Financial settled this matter by paying the client $21,250 in damages.
Also, a client of LPL Financial contested Gina Francisco’s sales practices, based on a complaint dated March 25, 2014. Allegedly, Francisco made misrepresentations of unsuitable mutual funds. It appears that Francisco allegedly caused the client to sustain damages. As a result, the client sought $6,000 in compensation from LPL Financial or Francisco in this matter. However, the firm denied this complaint.
Notably, on December 22, 2016, an LPL Financial client filed a complaint about Gina Francisco. Primarily, the client alleged that Francisco made unsuitable recommendations. Because of this, the client allegedly experienced damages on variable annuities. Therefore, the client requested damages reasonably believed to exceed $5,000 in compensation from LPL Financial or Francisco. However, the firm denied this complaint.
Did you experience losses because of Gina Francisco? You can contact Soreide Law Group online or at (888) 760-6552 and speak with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm works on a contingency fee arrangement and advances all costs. Francisco and brokerage firms Francisco worked for deny allegations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
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