Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Betty Fenton (Fenton), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fenton 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 $69,000.00 on November 04, 2020.
Claimant alleges that he was recommended unsuitable alternative investments, FSKR and Watermark Lodging Trust, for his retirement account.