Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Rogers (Rogers), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rogers recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on January 13, 2025.
Customer alleges that an investment made in 2015 was unsuitable for the customer’s investment objectives and risk tolerance.
