Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stacy Spearman (Spearman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spearman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on June 02, 2023.
Alleged advisor made suspicious trades and transfers to accounts that do not belong to customer from 1/1/21 to 6/15/22
