Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Roybal (Roybal), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roybal 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 $21,887.48 on October 23, 2020.
Client alleges rep failed to follow instructions to invest assets into managed account , resulting in monetary loss.