Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Less (Less), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Less recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $254,048.00 on May 13, 2024.
Complaint alleges that the advisor approved transactions that were not authorized by the POA agreement on file.