Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Soukup (Soukup), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Soukup 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 $5,000.00 on December 14, 2023.
07/20/2022 – 12/07/2023 The client alleges that his advisor purchased AAPL stock without permission. The client alleged that LPL’s back office failed to provide a revised 1099R per the client’s request for a corrected return. Due to the delay, the client incurred $6,000 in attorney’s fees. The client demanded that LPL reimburse his attorney’s fee, or he would report his advisor for unauthorized trading of an equity position.