Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Linda Howard (Howard), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Howard recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 14, 2020.
Attorney for the executor of the client’s estate alleges the rr engaged is false and misleading conduct with former poa agent in relation to opening an account in the client’s name, allowed the agent to designate beneficiaries other than the estate, and conspired with the agent to deplete the assets of the estate. Time period of the activity is from March 2018 through December 2019.