Marilyn Ashley Genery, of Portsmouth, New Hampshire, a formerly registered with LPL Financial LLC, was terminated from employment on November 15, 2016, based upon allegations that he violated the firm’s procedures regarding customer account documentation.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on May 12, 2017, a customer filed an investment related written complaint involving Genery’s conduct, in which the customer requested more than $5,000.00 in estimated damages based upon allegations that Genery effected the sale of an annuity despite the product having failed to be suitable for the customer.
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