Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Stephen Krauss (Krauss), previously employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Krauss’s most recent customer complaint alleges that Krauss recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $16,502.00 on March 05, 2024.
03/28/2017 – 03/04/2024\, The client alleges that his advisor misrepresented the crediting\, on a JP Morgan S&P500 Dividend Aristocrats structured note.