Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Cassa (Cassa), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cassa recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.
Customers allege they suffered unexpected tax liabilities as a result of investment recommendations to surrender their variable annuities. Time period November 2021 to April 2023.