Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Groebner (Groebner), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Groebner 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 $73,380.48 on February 25, 2025.
Due to a clerical error, the client's funds were invested into the incorrect fund causing a tax issue for the client.