Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Malboeuf (Malboeuf), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Malboeuf recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 31, 2020.
Customer alleges failure to follow instructions with respect to allocation of account. Activity dates 10/1/19 through 4/1/20