Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Farley (Farley), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Farley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $42,000.00 on September 24, 2020.
Claimant alleges that one of the investments purchased for his portfolio in 2013 was unsuitable because the price of the investment allegedly declined in June of 2020. activity period: 4/2013 to 7/2020.