Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andreas Dailey (Dailey), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dailey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 11, 2021.
Customer alleges the rep did not fully disclose all the facts regarding suitability.