Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Kellin (Kellin), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kellin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 23, 2021.
CLIENT ALLEGES RR DOLLAR COST AVERAGED ASSETS FROM MONEY MARKET TO MUTUAL FUNDS STARTING IN 04/2020 INSTEAD OF INVESTING THE FULL AMOUNT RIGHT AWAY WHICH RESULTED IN LOST MARKET OPPORTUNITY.