Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Vanecek (Vanecek), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vanecek recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.
Customer alleges that investments made during the time period 2014-2016 were unsuitable for the customer’s investment objectives and risk tolerance.