Louisiana financial advisor Garrett Ahrens has resigned from LPL Financial, LLC amidst a FINRA investigation into allegations that he reported incorrect values on customer’s statements.
Ahrens has denied the FINRA allegations. According to FINRA’s BrokerCheck report, Ahrens stated that the separation with LPL was voluntary. “I voluntarily resigned from LPL Financial on August 18, 2015. My resignation had nothing to do with the Wells Notice received on August 4, 2015. LPL Financial defended my use of consolidated reports during the almost two year inquiry by FINRA until I decided to form an independent investment advisory firm and resign from LPL.”
A review of Ahrens’ BrokerCheck Report reveals that he currently has one customer dispute pending, and also settled two additional customer complaints during the 2010-2013 time period.
Investment News article (September 18)
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