Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven White (White), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that White 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 $26,551.99 on November 29, 2023.
The customer alleges that it was not disclosed to him that his alternative investment was illiquid at the time of purchase in September 2014.