Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Becker (Becker), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Becker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 27, 2022.
Customer Alleges the rep did not fully disclose all the facts regarding investment objectives and suitability.