Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Whaley (Whaley), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Whaley 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 $20,000.00 on September 20, 2020.
Client alleges misrepresentation regarding managed account investment. Activity dates 09/02/2020-09/02/2020.