Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alex Mathis (Mathis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mathis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $311,959.00 on June 01, 2023.
Customer alleges that an investment recommendation was unsuitable.