Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Westcott (Westcott), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Westcott recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 10, 2023.
Claimant alleges that during the time period September 2019 to February 2023, representative made unsuitable investment recommendations