Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joan Weiss (Weiss), previously associated with Lincoln Financial Advisors Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Weiss recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 16, 2021.
Plaintiff alleges the representative recommended inappropriate investments and insurance products and that the fees charged for those investments and insurance products were not reasonable. Plaintiff also alleges an annuity beneficiary form was not properly processed.