Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 30, 2017 indicate that Pennsylvania-based LPL Financial broker/adviser Bruce Cooke has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cooke (CRD# 2229065).
Bruce Cooke has spent 25 years in the securities industry and has been registered with LPL Financial in Havertown, Pennsylvania since April 2017. Previous registrations include Citizens Securities in Broomall, Pennsylvania (2006-2017); Wachovia Securities in Broomall, Pennsylvania (2003-2006); Linsco/Private Ledger Corporation in Boston, Massachusetts (1997-2003); American Express Financial Advisors in Minneapolis, Minnesota (1992-1997); and IDS Life Insurance Company in Minneapolis, Minnesota (1992-1997). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on January 21, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 30, 1992; Series 7 (General Securities Representative Examination), which he obtained on August 7, 1992; and Series 24 (General Securities Principal Examination), which he obtained on April 22, 1997. He is a registered broker and investment adviser with three US states: Florida, New Jersey, and New York.
According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.
In November 2017 a customer alleged Bruce Cooke, while employed at Citizens Securities, participated in fraudulent activities and sold an illegal investment. The customer is seeking damages of at least $5,000 in the pending complaint.
In 2003 a customer alleged Bruce Cooke, while employed at Linsco/Private Ledger Corporation, recommended unsuitable mutual fund and stock products. The complaint settled in 2004 for $55,000.
In 2002 a customer’s daughter alleged he, while employed at Linsco/Private Ledger Corporation, sold unsuitable investments. The customer sought unspecified damages in the complaint, which was denied.
In 1996 a customer alleged Bruce Cooke, while employed at American Express Financial Advisors, sold shares of Intel stock without her authorization. The complaint settled for $30,000.
If you or someone you know has complaints regarding Bruce Cooke, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.