Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Long (Long), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Long 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 $275,000.00 on January 19, 2024.
Claimant alleges that during the time period March 2018 to December 2022, LPL failed to disclose the fees associated with servicing her employer’s 401k account.