Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Buddy Mason (Mason), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mason recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $175,000.00 on December 29, 2025.
Advisor presented investment opportunity away from the Firm which resulted in losses.