Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Stubbs (Stubbs), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stubbs 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 $16,000.00 on May 18, 2020.
Customer alleges unsuitable recommendation of advisory account and seeks reimbursement of fees.