Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christian Garza (Garza), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Garza recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $4,000,000.00 on November 13, 2020.
Customer alleges that representative engaged in fraudulent conduct including misappropriation by forgery and/or alteration of documents. Activity period – 9/2011 to 12/2012.