Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Chiaro (Chiaro), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chiaro 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 $171,000.00 on February 05, 2021.
Customer alleges that broker did not execute trades in customer’s account at the time he said he would, causing losses activity period 1/1/2020 to 5/31/2020