Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Graham Jepsen (Jepsen), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jepsen 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 $35,000.00 on September 13, 2022.
Clients allege options were not properly established causing an increase in the expected captial gains.