Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Carter (Carter), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carter 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 $25,000.00 on June 16, 2025.
Power of Attorney for customer alleges that registered representative borrowed funds from customer and has failed to pay back the outstanding principal and interest.