Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Coleman (Coleman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Coleman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $70,000.00 on September 22, 2023.
Claimant alleges LPL representatives made an unsuitable recommendation in 2013 to purchase an alternative investment.