Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Grosskopf (Grosskopf), currently associated with Peak Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grosskopf recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $450,000.00 on October 28, 2025.
The claimants claim that they were sold an indexed universal life insurance policy between 2013 and 2017 that was unsuitable for them. The claimants allege that the representative made unsuitable recommendations in that premiums for the policy were withdrawn from qualified accounts causing the claimants to incur IRS early withdrawal penalties. In connection with these recommendations, the claimants allege breach of fiduciary duty, negligence, violations of FINRA rules, misrepresentation, and breach of contract.