Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Widman (Widman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Widman 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 $15,000.00 on June 07, 2025.
Customer’s POA alleges that licensed admin accepted excessive payment for outside business activity.