Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tracy Randle (Randle), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Randle recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on June 05, 2020.
Client complained the financial advisor liquidated certain assets without her authorization. (10/28/2019)