Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Adams (Adams), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Adams 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 $12,846.00 on March 18, 2021.
Customer Alleges the rep failed to disclose Tax Consequences.