Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Stossel (Stossel), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stossel 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 $11,000.00 on May 17, 2024.
The client alleges the advisor delayed following instructions to reduce risk in a Model Wealth Portfolio account, resulting in damages totaling $11,000.\, Failure to follow instruction. 03-18-2024 to 05-02-2024