Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Johnny Rutledge (Rutledge), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rutledge recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 11, 2021.
Claimants allege their financial professional recommended they invest in a municipal bond, a corporate debenture and an open-end mutual fund that were unsuitable for their investment portfolio. Activity period: 11/2016 to 12/20.