Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Nagy (Nagy), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nagy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 27, 2020.
Client complained that the financial advisor did not advise him that some of his investments had to be sold to facilitate the transfer his account, or that the sales would result in tax consequences. (11/21/2019-3/17/2020)