Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Osborne (Osborne), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Osborne recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.
Customer alleges that investments made in 2012-2014 were unsuitable for the customer’s investment objectives and risk tolerance.