Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aniruddha Rao (Rao), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rao recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on April 11, 2025.
Customer alleges that there was a misallocation in the investment and that certain terms were not adequately disclosed.