Investors potentially experienced sales practice violations due to securities broker James Robert Ptacek Jr. (also known as Jim Ptacek) [CRD: 1959049, Willoughby Hills, Ohio], according to public information found on FINRA BrokerCheck. Evidently, Ptacek worked for LPL Financial LLC from February 14, 2018, to November 14, 2024. Supposedly, the firm discharged him for not reporting private securities transactions and outside business activities. Read below to find out more about the disclosures involving Ptacek.
Particularly, an FSC Securities Corporation client filed Civil Action No. CV02464820 about James Ptacek The client alleged that Ptacek breached his fiduciary duty in reference to a fixed annuity transaction. Consequently, the investor allegedly incurred damages. For this reason, on July 23, 2003, FSC Securities Corporation settled this matter by paying the client $125,000 in damages.
Specifically, a client of LPL Financial LLC disputed James Ptacek’s sales practices by filing FINRA Arbitration No. 25-01263 on June 18, 2025. Allegedly, Ptacek made unsuitable recommendations given the client’s investment objectives and risk tolerance. It appears that Ptacek caused the client to sustain damages. As a result, the client seeks compensation from LPL Financial LLC or Ptacek totaling $100,000 in this ongoing matter.
Did you experience losses because of James Ptacek? You should reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney regarding recovering your investment losses. Soreide Law Group has recovered losses for clients throughout the United States. The firm also works through a contingency fee arrangement and advances all costs. Ptacek and brokerage firms Ptacek worked for deny all allegations of referenced in public disclosures.
Soreide Law Group is investigating potential investor claims involving Blue Owl Capital Corporation (NYSE: OBDC), including whether brokers and financial advisors properly explained the risks surrounding this publicly traded business development company and its related private credit platform. OBDC invests primarily in loans to middle-market companies and is often marketed as an income-generating investment. However, […]
Investors potentially experienced sales practice violations by securities broker Mark Perry Kissinger [CRD: 4546631, Frisco, Texas], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kissinger worked for NYLIFE Securities LLC since November 27, 2018, and Eagle Strategies LLC since March 15, 2023. Read on for a better understanding about the disclosures involving this […]
Investors have reportedly disputed the sales practices of securities broker Robert Steven Wilkinson [CRD: 1180321, Oakland, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wilkinson worked for Western International Securities Inc. from November 26, 2013, to June 5, 2025, and later registered with LPL Financial LLC beginning June 5, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com