Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Evan Lunsford (Lunsford), currently employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Lunsford’s most recent customer complaint alleges that Lunsford recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.
FINRA BrokerCheck shows a settled customer complaint on August 18, 2023.
Customer alleges that during the time period 2018-2020, representative made investment recommendations in structured notes tied to the energy market that were unsuitable for claimant’s investment objectives.