John Locke Fired by LPL Financial
John Locke (CRD #: 5566294), a broker currently registered with Harbour Investments, was recently terminated by LPL Financial in Madison, Wisconsin. This disclosure appears on his BrokerCheck record, accessed on November 13, 2023. Keep reading if you have questions.
On September 21, 2023, LPL Financial fired John Locke following allegations that he attempted to resolve a client grievance outside of approved firm channels.
FINRA Rule 4510: Books and Records Requirements
FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records. FINRA Rule 4513 states that firms must maintain records of written customer complaints. Attempts to resolve client grievances may violate this rule.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Resolving a client grievance outside of firm policies may violate this rule.
John Locke has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 6 Investment Company Products/ Variable Contracts Representative Examination
During his 12 years of experience, John Locke has registered with three firms:
- Harbour Investments (CRD #: 19258)
- LPL Financial (CRD #: 6413)
- Northwestern Mutual Investment Services (CRD #: 2881)
Kurta Law Can Help
If you worked with John Locke of Madison, Wisconsin, and have concerns about your investments, please contact us today at 877-600-0098 or email@example.com for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.