Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregg Manis (Manis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Manis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on March 03, 2021.
Claimants alleges that LPL and its registered representative negligently advised their client to purchase assets and make transfers between trusts which violated the terms of the trusts and constituted a breach of fiduciary duty. Plaintiff alleges he suffered financial loss as result of the alleged conduct.