Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Johnny Ceballos (Ceballos), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ceballos 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 $284,942.00 on September 09, 2020.
CUSTOMER ALLEGES UNSUITABILITY IN DISCRETIONARY ADVISORY ACCOUNT. TIME PERIOD: 7/2017-9/2020