Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hess (Hess), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hess 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 $24,000.00 on September 01, 2025.
Customers allege that in December of 2016, representative recommended an investment strategy in systematic investment plans that was inappropriate for the customers’ investment objectives and risk tolerance.