Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seng Heuansavath (Heuansavath), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heuansavath recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 30, 2023.
Authorized representative verbally complained that their financial advisor recommended the purchase of an annuity contract without taking into consideration that withdrawals made to fulfill their RMD requirement would result in the loss of step up benefits. (07/30/2009 – 01/02/2013)