Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Rossi (Rossi), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rossi 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 $5,000.00 on May 27, 2026.
\, CUSTOMER ALLEGATIONS SURROUNDING REPRESENTATIVE’S FAILURE TO FOLLOW CUSTOMER INSTRUCTIONS RESULTING IN CUSTOMER BEING OVER CHARGED IN CUSTOMER’S ADVISORY ACCOUNTS. \,