Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Lode (Lode), previously associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lode 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 $500,000.00 on October 31, 2023.
Statement of Claim alleges the financial professional recommended an unsuitable investment. Claimant suggests the investment was misrepresented.