Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Given (Given), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Given 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 $25,000.00 on August 20, 2024.
Customer alleged the investment they purchased in 2015 was not suitable.