Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Bernard (Bernard), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bernard 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 $36,000.00 on February 14, 2025.
Customer alleges that the terms of a CD were misrepresented when sold to him in 2017.