Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Pascoe (Pascoe), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pascoe 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 $35,000.00 on August 03, 2020.
Customer Alleges that the rep did not fully disclose all the facts regarding the purchasing of an insurance policy, suitability, the dollar amount and duration of premium payments, and replacement.