Ryan Christopher Faley of Huntington Station New York a stockbroker formerly employed by LPL Financial LLC is the subject of a customer initiated investment related arbitration claim that settled for $29,750.00 in damages based upon allegations that Faley made equity investment recommendations to the customer that were not suitable. Financial Industry Regulatory Authority (FINRA) Arbitration No. 16-00511 (Feb. 27, 2017).
FINRA Public Disclosure also reveals that Faley was terminated from his prior employer, Joseph Gunnar & Co. LLC, supported by accusations of Faley’s activities being referenced in three complaints from customers, and Faley’s failure to engage in ethical conduct while working with the firm.
Faley’s registration with LPL Financial LLC has been terminated as of August 25, 2015. Since October 19, 2017, he has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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