Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Davis (Davis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $40,000.00 on July 12, 2023.
The customer alleges that the advisor misrepresented FS Energy & Power at the time of purchase in 2013 to be a safe “bond like” investment