Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Vick (Vick), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vick recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 13, 2024.
Customer alleges that the representative inaccurately communicated the interest rate of a fixed annuity the customer purchased in June 2022 with funds from a 401k rollover.
