Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Keller (Keller), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Keller 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 $297,000.00 on December 15, 2023.
Client alleges that representative misappropriated the funds in her account between July 2012 and May 2016.
