Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfred Barter (Barter), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barter 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 $30,000.00 on October 28, 2024.
Claimant alleges their RR recommended an unsuitable Oil and Gas investment.
