Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Giegerich (Giegerich), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Giegerich 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 $100,001.00 on June 14, 2022.
Claimant alleges financial adviser recommended investments that were unsuitable. Claimant generally alleges causes of action of suitability, misrepresentation, breach of contract, breach of fiduciary duty, and negligence.