Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dawn West (West), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that West recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 01, 2020.
Claimant alleges that in September 2018 advisor recommended an unsuitable investment in a structured note which the advisor then unilaterally sold in March 2020.