Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Vogel (Vogel), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vogel 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 $23,400.00 on September 10, 2021.
Beginning in or around 2020, the complainant alleges that the rep recommended that she 1035 exchange the cash value of her universal life insurance policy into a new variable life insurance policy and said there would be no penalties for doing so.