Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Nagel (Nagel), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nagel 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 $5,000.00 on May 26, 2020.
Client alleges that there were delays in processing his 1035 variable annuity exchange which caused him to incur market losses. Alleged activity dates: 1/29/20-5/26/20