Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Diane Hutchings (Hutchings), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hutchings recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 22, 2020.
Customer alleges that in April 2013 through February 2014 representative made investment recommendations in non-traded real estate investment trusts and other high risk investments unsuitable for claimant’s investment objectives.