Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Benjamin Fordham (Fordham), 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), Fordham’s most recent customer complaint alleges that Fordham 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 $100,000.00 on November 07, 2022.
Claimants allege unsuitable recommendations of structured products. Activity period February 2015 to November 2022.