Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Mostero (Mostero), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Mostero 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 $350,000.00 on April 23, 2024.
Claimant alleges that their former representative engaged in an inappropriate relationship with Claimant, failed to protect her from poor financial decisions, and breached his duties of care, best interest, trust, and fair dealing.