Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mitchell Bowles (Bowles), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bowles recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 11, 2021.
Client verbally alleged failure to follow instructions with respect to termination the advisory agreement in account – February 2021 to April 2021.