Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Albert Chen (Chen), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $25,000.00 on November 27, 2024.
Alleges losses in portfolio value due to lack of Mr. Chen’s taking action in line with his fiduciary duties to address the rapid and devasting depletion of the client’s funds.