Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hargis (Hargis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hargis 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 $6,783.00 on May 14, 2020.
Customer alleges failure to follow instruction to move to cash. Time period of claim: 11/6/2009 to 5/14/2020