Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maryanne Bessler (Bessler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bessler 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 $158,086.56 on May 19, 2020.
Claimant alleges respondent recommended that her late husband invest in certain alterntaive investments and variable annuities which were unsuitable for his investment profile. Claimant alleges that lpl failed to adequately supervise its registered representative who recommended the investments, thereby causing her and her family monetary damages. Activity period – July 2014 to May 2020.