Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Song (Song), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Song 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 $459,999.00 on September 03, 2025.
THE CLIENT ALLEGES THAT HER ADVISOR, WITHOUT AUTHORIZATION, SIGNED ANNUITY PURCHASE PAPERWORK. ADDITIONALLY, THE CLIENT ALLEGES HER ADVISOR BORROWED $6,000. ALLEGATION PERIOD: 8/16/23 – 8/22/25