Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Earl Winthrop (Winthrop), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Winthrop 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 $5,000.00 on December 04, 2024.
Customer alleges unsuitable investments and violation of Reg BI