Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth South (South), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that South recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on January 30, 2025.
Claimants allege they suffered unspecified losses because of unsuitable investments and excessive fees, and allege claims for breach of fiduciary duty, negligence, negligent misrepresentation, and violations of state laws and industry regulations. From 2006-2021.
