Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Gore Ii (Gore Ii), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gore Ii 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 $18,000.00 on May 11, 2021.
Claimants allege that in 2014 representative recommended they invest in a Real Estate Investment Trust (‘REIT’) that was unsuitable for the their risk tolerance and also failed to advise the claimant about the REIT’s risks and commissions.