Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Hunt (Hunt), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hunt recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 21, 2020.
Power of Attorney for client complained that the securities in the client’s account were not suitable. (9/8/2016-5/21/2020)