Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randolph Peters (Peters), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peters 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 $100,000.00 on May 04, 2023.
Client alleges that annuity was misrepresented and unsuitable recommendation and sale of a variable annuity.