Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Barnett (Barnett), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barnett 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 $125,000.00 on August 12, 2025.
Customer alleges that investments made in 2016 were unsuitable for the customer’s investment objectives and risk tolerance.