Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Geremy Connor (Connor), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Connor 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 $78,000.00 on March 25, 2021.
Claimants allege their financial professionals recommended they invest in two Business Development Companies that were unsuitable for their financial portfolio.