Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patricia Fleming (Fleming), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fleming 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 $500,000.00 on July 30, 2024.
Client alleges that certain mutual funds and ETFs purchased for his managed portfolio were not suitable the client. Time period: 2019-2024.