Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Towne (Towne), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Towne 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 $41,000.00 on April 09, 2025.
Reg BI – The client’s alleges the advisor did not act in the client’s best interest when recommending two positions in 2015 that did not perform well and should have kept the client apprised of the investments’ performance.