Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Romero (Romero), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Romero recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 10, 2021.
Customer alleges that she did not authorize the sale of apple shares on April 2, 2020, and that other investments were unsuitable. Customer seeks return of mismanaged funds. Activity dates: 4/2/20 to 1/18/21.