Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wendy Turk (Turk), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Turk 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 $18,841.17 on October 06, 2024.
Phishing attack compromised adviser’s email and enabled a fraudster to impersonate advisor and persuade client to direct funds to the fraudster’s account instead of to the adviser.