Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Christie (Christie), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Christie recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 18, 2020.
Customer alleges Failure to follow instructions to not make investments in her Discretionary Managed Accounts