Complaints Database Broker Name
Andrew Brookman
Complaints Database Employer
Aegis Capital Corp. LPL
Complaints Database Allegations
Representative Brookeman's most recent allegations concern an investment strategy in certain equities that may have been inappropriate for him to recommended, given his client's investment objectives and risk tolerance. That complaint, stemming from his time with LPL, is still pending, but he has been the subject of previous, similar complaints that were settled by his prior employers.
Complaints Database Outcome
Pending/Settled