Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yan Sun (Sun), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sun recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on June 13, 2024.
Customer alleges representative made unsuitable investment recommendations during the time period 2017 to 2024.
