Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Gaffney (Gaffney), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gaffney 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 $135,000.00 on December 23, 2020.
Customer alleges that his financial professional recommended that he invest in a reit and a business development company which were unsuitable for his investment portfolio. Activity period: 5/2014 to 12/2020.