October 16, 2015 Comments (0) Blog

Update on Securities Investigation Involving Garrett Ahrens

(Last Updated On: October 16, 2015)

Have you suffered losses investing with former LPL Financial Advisor Garrett Ahrens?  If so, The White Law Group may be able to help you recover your losses through a FINRA arbitration claim against Ahrens former employer, LPL Financial.

Specifically, The White Law Group is investigating the liability that LPL Financial may have for failure to properly supervise Ahrens and the investment recommendations he made to his clients.

According to Garrett Ahrens’ FINRA BrokerCheck report, Ahrens has been the subject of at least 12 disclosure events, many of them customer complaints, and some of them dating back to 1999.  As such, it appears that LPL Financial may have a heightened supervisor duty with respect to Mr. Ahens to ensure that he was complying with applicable FINRA Rules.

Ahrens’ FINRA BrokerCheck report, also reveals the following:

Disclosure Event(s)
10/06/2015

Regulatory – Final

09/14/2015

Customer Dispute – Pending

08/19/2015

Employment Separation After Allegations

08/18/2015

Employment Separation After Allegations

02/15/2013

Customer Dispute – Settled

08/30/2010

Customer Dispute – Settled

03/11/2009

Customer Dispute – Denied

06/14/2004

Customer Dispute – Denied

10/08/1999

Customer Dispute – Denied

10/08/1999

Customer Dispute – Denied

10/08/1999

Customer Dispute – Denied

02/04/1999

Customer Dispute – Denied

 

Current Registration(s)

This broker is not currently registered with any firm.

 

Previous Registration(s)

06/1998 – 08/2015

LPL FINANCIAL LLC (CRD# 6413) – LAFAYETTE, LA

09/1996 – 06/1998

BALENTINE & COMPANY (CRD# 19396) – ATLANTA, GA

10/1989 – 09/1996

EDWARD D. JONES & CO., L.P. (CRD# 250) – ST. LOUIS, MO

 

Passed 4 Exam(s)

Principal/ Supervisory Exam

General Securities Principal Examination

Series 24

10/11/2000

General Industry/ Product Exam

General Securities Representative Examination

Series 7

10/21/1989

State Securities Law Exam

Uniform Securities Agent State Law Examination

Series 63

11/10/1989

Uniform Investment Adviser Law Examination

Series 65

06/22/1999

If you are concerned about your investments with Garrett Ahrens and would like to discuss your litigation options, please call the securities attorneys of The White Law Group at 312/238-9650 for a free consultation.

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida.  For more information on the firm, visit http://www.whitesecuritieslaw.com. For more information on the firm’s investigation involving Garrett Ahrens, visit http://www.whitesecuritieslaw.com/2015/09/28/garrett-andrew-ahrens-under-investigation/.