Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Fitzgerald (Fitzgerald), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fitzgerald recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $14,000.00 on March 17, 2026.
Customer alleges Rep failed to inform her that rebalancing her portfolio would result in significant tax consequences.