Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Warner (Warner), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Warner 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 $65,000.00 on October 13, 2020.
The customer alleged that the representative misrepresented the speculative nature of an alternative investment and made the unsuitable recommendation in pursuit of higher commissions.