Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Baker (Baker), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baker 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 $10,966.86 on June 16, 2020.
Claimant alleges that her Financial Representative made two unsuitable investments in a managed account, which were ultimately sold at a loss to claimant. Activity period: 6/12/2018-5/29/2019