Advisor Alert: Our Attorneys Are Investigating James Allan Helfinstine For Investment Fraud
Did You Lose Money Because of Jim Helfinstine?
Filed: November 15, 2023
Jim Helfinstine (also known as James Allan Helfinstine) has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on James Allan Helfinstine.
Who Is James Allan Helfinstine of LPL Financial LLC?
- Advisor Name: James Allan Helfinstine
- Aliases: Jim Helfinstine
- CRD: 2425243
- Location: Prescott, Arizona
- Current Employer: LPL Financial LLC
- Previous Firms: National Planning Corporation
- Number of Known Customer Complaints: 2
- Can James Helfinstine Be Sued: Yes, in Private Arbitration
- Can James Helfinstine’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: Unknown
- Highest Settlement: Unknown
If you have suffered investment losses by Jim Helfinstine, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Jim Helfinstine For Broker Misconduct
As of this publication date, Jim Helfinstine has been the subject of 2 customer disputes. Let’s review them below.
In April 2020, a complaint was filed against or in reference to Jim Helfinstine by a customer of National Planning Corporation alleging that Mr. Helfinstine guaranteed the client’s signature by using a medallion stamp and seal on documents that were not signed by her.
In April 2013, a complaint was filed against or in reference to Jim Helfinstine by multiple customers of LPL Financial LLC alleging unauthorized investment into variable annuities.
How To File A Claim Against Jim Helfinstine of LPL Financial LLC (previously with National Planning Corporation) To Get Your Money Back.
If you have questions about Jim Helfinstine, LPL Financial LLC, National Planning Corporation, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.