Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Parker (Parker), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Parker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 29, 2023.
In November 2023, the customer asked for accounts to be transferred in kind to foreign broker dealer. Assets were liquidated without customer’s authorization.