Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Mathews (Mathews), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mathews 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 $17,279.44 on August 11, 2022.
Customer alleges misrepresentation with regard to the sale of a contingent interest note on January 26, 2021 by now deceased representative