Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dana Pelkey (Pelkey), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pelkey 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 $35,415.13 on November 27, 2023.
Customer alleges that the rep quoted an incorrect premium when the policy was sold, which caused the policy to lapse.