Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luke Ellis (Ellis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one tax lien, alleging that Ellis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on January 08, 2025.
The Rep failed to comply with the registration requirements of the Act by transacting business as a federally covered investment adviser representative in North Carolina from on or about November 2021 through on or about February 2024, without being registered, in violation of N.C.G.S. 78C-16(a1).
