Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Doll (Doll), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Doll recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 01, 2020.
Customer alleges unauthorized trading in two accounts. Activity period: March 13 – 18, 2020.