Articles Tagged with Andrew Quinn

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Quinn (Quinn), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Quinn 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 $100,000.00  on August 27, 2020.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00  on August 27, 2020.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Quinn (Quinn), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Quinn 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 $100,000.00 on August 27, 2020.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI).  Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities.  Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities.  Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts.