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LPL’s Shon Flaharty: Investor Seeks $566,000 in ETF Complaint

Shon FlahartyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 23, 2018 indicate that Florida-based LPL Financial broker/adviser Shon Flaharty has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Flaharty (CRD# 2666498).

Shon Flaharty has spent 22 years in the securities industry and has been registered with LPL Financial in Clearwater, Florida since 2007. Previous registrations include Banc of America Investment Services in Clearwater, Florida (2004-2007) and Merrill Lynch in New York, New York (1995-2004). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 1, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 30, 1995; Series 7 (General Securities Representative Examination), which he obtained on November 15, 1995; and Series 24 (General Securities Principal Examination), which he obtained on October 31, 2007. He is a registered broker and investment adviser with 33 US states and territories: Alabama, Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Idaho, Indiana, Louisiana, Massachusetts, Michigan, Minnesota, Mississippi, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Vermont, Virginia, and Washington.

According to his BrokerCheck report, he has received one pending customer complaint.

In May 2018 a customer alleged Shon Flaharty, while employed at LPL Financial, over-concentrated the account and recommended an unsuitable exchange-traded fund investment. The customer is seeking more than $566,300 in damages in the pending complaint.

If you or someone you know has lost money investing with Shon Flaharty, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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