Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Willauer (Willauer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Willauer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 18, 2020.
Customers alleged that transactions in their managed accounts were not for their benefit, and sought reimbursement of various account and advisory fees totaling approximately $6,573.42. Activity period – 7/15/11 to 4/18/20.