Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jim Cooper (Cooper), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cooper recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 13, 2020.
Customers allege the representative made recommendations that did not meet the clients’ needs and allegedly caused losses.