Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Valerie Krebs (Krebs), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Krebs recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on June 22, 2022.
Arbitration: Beginning in the summer of 2021, Claimant states her Financial Advisor (FA) placed her in unsuitable investments as compared to her stated financial circumstances, objectives, and risk tolerance.\, \, Complaint: Client complained that the financial advisor assured her the account would grow and that the investments she was placed in were not in accordance of her financial objectives. (9/7/2021-6/22/2022)