Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Davis (Davis), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $19,331.00 on December 08, 2022.
Customer Alleges the rep did not fully disclose all the facts regarding Tax Consequences.