Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Conrad Cook (Cook), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cook recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $311,200.00 on November 20, 2025.
Claimants allege that the investments held in decedent’s retirement account were not immediately liquidated upon her death and that the investments declined in value prior to liquidation, resulting in a lesser payout to the beneficiaries.