Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Uy (Uy), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Uy 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 $750,000.00 on February 26, 2026.
Customers allege misrepresentations regarding unnecessary and improper trades from 2016-2025.