Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Pennine (Pennine), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pennine recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 28, 2023.
Customer alleges that the 2 variable annuities she purchased in 2019 and 2020 were not right for her. Customer requests to close her accounts without penalties or fees