Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Segon (Segon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Segon 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 $5,000.00 on December 14, 2020.
Claimant alleges that Registered Representative recommended investments in real estate investment trusts (REITS) but failed to disclose their illiquid and speculative nature.