Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Countiss (Countiss), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Countiss 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 $35,000.00 on December 31, 2024.
The client’s attorney alleges their advisor assured them that moving funds from a qualified account would result in ‘minor’ tax implications. Further, attorney alleges the advisor improperly handled the distributions which resulted in excess tax and loss of earnings.