Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Brian Bates (Bates), 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), Bates’s most recent customer complaint alleges that Bates recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on February 13, 2023.
Claimants allege that their representative recommended unsuitable structured notes for their account. Activity period: November 2021 to September 2023.