Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kalen Baxter (Baxter), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baxter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on January 02, 2024.
Customer alleges that investments made in 2014 were inappropriate for the customer’s