Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Lepine (Lepine), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lepine recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on December 15, 2022.
Client alleges advisor failed to advise her that a variable life insurance policy ensuring her father would lapse when her father turned 100.