Brent Lott - Financial Advisor Brent Lott Under FINRA Investigation
Goodman & Nekvasil P.A., May Recover Investor Losses | Brent Lott - Financial Advisor Brent Lott Under FINRA Investigation
Brent Lott CRD #1559744
From 2006 until Brent Lott’s firing in 2013, Brent Lott was licensed with LPL Financial LLC. Brent Lott is now licensed with Girard Securities, Inc. According to FINRA’s records, Brent Lott was fired by LPL Financial LLC on October 14, 2013. LPL Financial LLC reported to FINRA that Brent Lott submitted equity indexed annuity applications without meeting or discussing with clients, and violated LPL Financial LLC’s document signature policy.
FINRA reports that an arbitration claim involving Brent Lott’s conduct with LPL Financial LLC was filed alleging Brent Lott initiated trades without written consent. This arbitration claim settled for $50,000, with Brent Lott paying the entirety of the settlement. FINRA also reports that two arbitration claims involving Brent Lott’s conduct with LPL Financial LLC are currently pending. These two claims allege forgery and/or improper signatures.
FINRA recently reported that they are investigating Brent Lott in relation to a potential violation of FINRA Rule 2010, 4511 and 2010.
If you lost any money on investments with Brent Lott you may be able to recover your losses from LPL Financial LLC and/or Girard Securities, Inc. This is because LPL Financial LLC and Girard Securities, Inc. had a duty to supervise Brent Lott.
If you lost money on investments with Brent Lott and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against LPL Financial LLC and/or Girard Securities, Inc. concerning Brent Lott’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $170 million on behalf of victimized investors. If you lost money on investments with Brent Lott and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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