Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Sopher (Sopher), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sopher 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 $73,000.00 on April 26, 2021.
Claimant alleges negligence, breach of fiduciary duty, and failure to supervise.