Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Lesley (Lesley), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lesley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on July 22, 2024.
Customer alleges representative did not act in their best interest when representative used discretion to sell equities in the account in July 2021.