Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Wight (Wight), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wight recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 19, 2021.
Customer alleges that in June 2021, she was misled into purchasing a variable annuity that was not appropriate for her age and financial needs.