Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Brown (Brown), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brown recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 08, 2024.
Customer alleges that investments made in 2013 were unsuitable for the customer’s investment objectives and risk tolerance.