Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Pepper (Pepper), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pepper recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 30, 2020.
Customer amended allegations to allege misrepresentation of mutual funds.