Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Collins (Collins), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Collins 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 $15,000.00 on November 21, 2022.
Customer alleges negligence, unsuitable recommendations, negligent supervision, breach of contract and fiduciary duty in regards to an investment in a high yield corporate bond.