Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Scott (Scott), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Scott recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 17, 2020.
Client alleges that FA misrepresented the nature of the mutual fund that was purchased.