Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Sullivan (Sullivan), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sullivan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on October 16, 2024.
Customer alleges that investments in mutual funds made from October 2021 to December 2023 were unsuitable for the customer’s investment objectives and risk tolerance
