Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ellen Lau (Lau), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lau recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.
Claimants allege unsuitable investment recommendations.
