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:
This broker is not currently registered with any firm.
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
General Industry/ Product Exam
General Securities Representative Examination
State Securities Law Exam
Uniform Securities Agent State Law Examination
Uniform Investment Adviser Law Examination
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, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. For more information on the firm, visit https://www.whitesecuritieslaw.com. For more information on the firm’s investigation involving Garrett Ahrens, visit https://www.whitesecuritieslaw.com/2015/09/28/garrett-andrew-ahrens-under-investigation/.