Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Anthony Ghiglieri (Ghiglieri), currently employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Ghiglieri’s most recent customer complaint alleges that Ghiglieri recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $12,450.94 on August 18, 2021.
Customer alleges the investment in the structured product was unsuitable based on their investment profile. In addition, the customer alleges the RR misrepresented the product by not disclosing the risks.