Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Fross (Fross), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fross 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 $50,000.00 on March 20, 2021.
Claimant alleges unsuitability in connection with a reit purchase made over 12 years ago at sii investments. Activity period – 2008 – 2011.