Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Baughan (Baughan), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baughan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on January 02, 2024.
Customer alleges that an investment made in 2013 was inappropriate for the customer’s investment objectives and risk tolerance.