Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Trahms (Trahms), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Trahms 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 $25,327.00 on February 01, 2022.
On 2/1/2022 client asked that Gazprom stock be sold. The sale was not completed. On 2/22/2022 the client learned that the stock had not been sold and the price of Gazprom dropped. The representative wanted to see if the price of Gazprom came back. On 2/28/2022 the price of Gazprom dropped again. The client was very upset. Shortly after that date, Gazprom stock was removed from client’s account by federal government due to Russian invasion of Ukraine.