Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Wagner (Wagner), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wagner 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 $10,000.00 on April 14, 2020.
Client alleges that advisor’s actions caused a delay in settling his deceased father’s acounts. Client alleges that the delay caused him to lose $10,000.00 due to a decrease in account values and the cost incurred in hiring an attorney. Alleged activity dates 2/13/2020 to 4/14/2020.