Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Prokos (Prokos), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Prokos 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 $52,000.00 on April 29, 2024.
Customers allege that investments made in 2014 were unsuitable for the customers’ investment objectives and risk tolerance.