Advisor Alert: Our Attorneys Are Investigating Joseph Anthony Brittingham For Investment Fraud
Did You Lose Money Because of Joe Brittingham?
Filed: November 6, 2023
Joe Brittingham 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 Joseph Anthony Brittingham.
Who Is Joseph Anthony Brittingham of LPL Financial LLC?
- Advisor Name: Joseph Anthony Brittingham
- Aliases: Joe Brittingham
- CRD: 2853799
- Location: Pismo Beach, California
- Current Employer: LPL Financial LLC
- Previous Firms: Edward Jones
- Number of Known Customer Complaints: 2
- Can Joseph Brittingham Be Sued: Yes, in Private Arbitration
- Can Joseph Brittingham’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $75,000
- Highest Settlement: $19,500
If you have suffered investment losses by Joseph Brittingham, 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 Joseph Brittingham For Broker Misconduct
As of this publication date, Joseph Brittingham has been the subject of 2 customer disputes. Let’s review them below.
In July 2022, a FINRA arbitration was filed against or in reference to Joseph Brittingham by a customer of LPL Financial LLC alleging that Mr. Brittingham recommended an investment strategy in a non-traded REIT and a non-traded BDC that was inappropriate for the customer’s investment objectives and risk tolerance between October 2014 and July 2022. Per the customer, he/she lost over $75,000 because of Mr. Brittingham’s actions. On May 4, 2023, Mr. Brittingham settled the claim for $19,500, and some or all of this amount may have been paid by Mr. Brittingham’s employer and/or insurance carrier.
In October 2001, a complaint was filed against or in reference to Joseph Brittingham by a customer of LPL Financial LLC. Client states she contacted Joe Brittingham, for advice on investing $80,000. Mr. Brittingham first suggested a combination of Lord Abbett Bond Fund and Investment Co. of America (ICA), however, ultimately recommended all be placed in ICA. The client claims Mr. Brittingham indicated this was a good, safe, conservative fund that had only been down twice with a negative total return of -6% over the last 60 years. The client states when the fund began to drop in value she contacted Mr. Brittingham about moving the funds to a bond fund with american funds; client claims Mr. Brittingham refused to provide her with options or discuss moving the funds. Finally all funds were placed in the money market. The client states she then spoke to another IR with EDJ who provided her with several options available with american funds and, she believes, had these options been provided she would not be down approx. $15,000. The client stated that Mr. Brittingham was rude, arrogant and incompetent to advise investors. Per the customer, she lost over $5,000 because of Mr. Brittingham’s actions.
How To File A Claim Against Joseph Brittingham of LPL Financial LLC (previously with Edward Jones) To Get Your Money Back.
If you have questions about Joseph Brittingham, LPL Financial LLC, Edward Jones, 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.