Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Louis Nemeth (Nemeth), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nemeth 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 $50,000.00 on February 06, 2023.
Clients allege an unsuitable and unauthorized investment in a penny stock. Activity occurred on August 5, 2022.