Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rowena Ruff (Ruff), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ruff recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 08, 2024.
Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.