Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfred Amato (Amato), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Amato 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 $54,000.00 on November 20, 2020.
Customer alleged that investment in business development company was misrepresented and unsuitable, and sought recovery of initial investment. Activity period: 12/9/14 to 12/9/14.