Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Crocker (Crocker), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crocker 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 $325,000.00 on May 15, 2026.
03/01/2023-03/02/2026 – Clients (non-LPL) allege that their advisor failed to update their accounts investment holdings to align with the risk tolerance agreed upon by the clients. Accordingly, the clients allege they are owed $325,000 in opportunity costs.