Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Heflin (Heflin), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heflin 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 $23,000.00 on October 19, 2021.
Customer alleges that in March of 2020 the registered representative failed to follow instructions to purchase certain equities.