Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Audet (Audet), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Audet recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $250,000.00 on January 12, 2021.
Claimants allege their financial professional recommended they invest in a REIT, certain limited partnerships, and an ETF which was unsuitable for their investment portfolio.