Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Teddy Ezzell (Ezzell), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ezzell 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 $5,000.00 on April 08, 2024.
Breach of fiduciary duty; unsuitable recommendations; misrepresentation and failure to supervise by the firm.