Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Katherine Petrelli (Petrelli), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Petrelli recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on June 11, 2020.
Customer alleged that he instructed on June 3, 2020 that his account be sold if its value dropped to $487,500, and that these instructions were not followed. Customer sought compensation of between $7,000 and $16,980.93 in losses after account declined further in value. Activity period: 6/3/20 to 6/11/20.