Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Sep (Sep), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sep 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 $40,000.00 on May 26, 2025.
The client alleges that her representative did not provide advice in her best interest concerning an inherited annuity, including discussing alternatives and tax consequences. 03/01/2024 to 05/26/2025