Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Zimmerman (Zimmerman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zimmerman 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 $30,000.00 on August 10, 2020.
Elderly Claimant alleges poor recommendation of an investment in FS KKR, which Claimant contends was unsuitable because the value of the investment allegedly declined following a public listing event. Activity Period: 2/20/18 – 8/10/20