Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arthur Taylor (Taylor), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $305,106.82 on December 03, 2024.
Claimants allege that following their father’s death, assets were improperly transferred from an account he held without transfer-on-death (‘tod’) instructions to an account he held with tod instructions and then transferred to claimants pursuant to the tod instructions. Allegation activity dates: april 28, 2011 – january 1, 2019.