Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Doering (Doering), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Doering recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 21, 2022.
Customer alleges representative failed to execute a sell order timely, which led to a decline of his account’s value. Activity period: January through April 2022.