Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Wittkopf (Wittkopf), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wittkopf 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 $11,387.00 on February 18, 2025.
The client alleged that Mr. Wittkopf acted inappropriately by selling three equities and investing the proceeds in a diversified managed account at LPL Financial, LLC. The client claimed to have insufficient knowledge of the transaction and was not prepared for the tax implication of the stock sale.