Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Evans (Evans), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Evans 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 $1,626,972.00 on March 16, 2023.
Customer alleges that advisor breached his fiduciary duties by approving cash withdrawals, which indirectly benefitted the advisor. Time period June 2021 to August 2022.