Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gayle Lob (Lob), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lob 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 $65,000.00 on December 15, 2020.
Customer alleges unsuitable alternative investment recommendation. Activity Period: 5/2013 – 12/2020.