Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Levi Earhart (Earhart), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Earhart recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 08, 2020.
Client alleges the advisor made an unauthorized trade in his taxable account causing him tax consequences. The activity occurred on December 7, 2020.