Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Fusco (Fusco), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fusco 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 February 02, 2024.
Executrix of estate alleges, inter alia, failure to supervise with respect to the margin balance maintained in the deceased client’s account after he passed away and the estate was being settled 2016-2023 .