Brian Neil Slade (CRD#4073310) and LPL FINANCIAL LLC

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Brian Neil Slade (CRD#4073310) regarding allegations made regarding the following:

Claim(s) Made Against Brian Neil Slade:

Claim Date: 2/27/2020

“THE CUSTOMER ALLEGES THAT THE ADVISOR WAS INVOLVED WITH HER EX-HUSBAND IN MAKING AN UNAUTHORIZED WITHDRAWAL FROM HER RETIREMENT ACCOUNT IN 2016. CUSTOMER REQUESTED RETURN OF THE WITHDRAWAL. ACTIVITY PERIOD – 10/6/16 TO 2/27/20.”

This claim, as of this posting, is currently Denied with a claim amount of $8,000.00 .

See more information on FINRA’s BrokerCheck site for Brian Neil Slade.

Did you have problems with Brian Neil Slade?

If you were a client of Brian Neil Slade and LPL FINANCIAL LLC from SOUTH JORDAN, UT, and experienced any issues or problems, the Securities Lawyers at Halling & Cayo, S.C. are interested in discussing the possibility of a claim with you. Brokerage firms have the responsibility to oversee all representatives who are registered with their firm, including Brian Neil Slade, and must ensure that they adhere to all securities rules, regulations, and internal policies. If a brokerage firm fails to do so, it may be held responsible for investment losses sustained by customers due to a lack of supervision.

We are currently considering bringing claims on behalf of individual investors or groups of investors who have lost funds. Many customers have signed FINRA arbitration agreements that outline the process for resolving disputes, including claims for investment loss recovery. As the SEC advises, it is important to find an attorney who has experience handling securities complaints. If you were a customer of Brian Neil Slade and LPL FINANCIAL LLC and experienced investment losses, please get in touch with the Securities Lawyers. We only receive payment if we can recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to contact an attorney as soon as possible.


Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.