Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Junko Nagai (Nagai), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nagai 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 $10,000.00 on July 22, 2020.
Client alleges representative did not liquidate account as directed in December 2019.