Complaints Against Kristine Hartland of LPL Financial and Ameriprise
LARGO, FLORIDA– Have you lost money with financial advisor Kristine Hartland, formerly of LPL Financial and currently with Ameriprise in Largo, Florida? We are looking into allegations made against Kristine Hartland. Kristine Hartland has been the subject of a customer complaint filed in 2021. The customer alleged that Hartland sold them unsuitable BDCs (business development companies), real estate investments, and UITs (unit investment trusts). The customer alleged that the BDCs, real estate, and UITs caused losses of $950,000.
Kristine Hartland was a registered representative of LPL Financial from 2002 to November 2016. She has been with Ameriprise from November 2016 to the present. She has worked at branch offices in Largo, Florida.
Brokerage firms like LPL Financial and Ameriprise have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against LPL Financial and Ameriprise.
Click to view BROKERCHECK: Hartland, Kristine BrokerCheck 6.9.21