Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kristin Pennock Jackson (Pennock Jackson), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pennock Jackson 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 $45,000.00 on December 02, 2020.
Customer Alleges the rep did not fully disclose all the facts regarding the replacement of her policy.