According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Catherine Mclarty (Mclarty), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mclarty recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Graham (Graham), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Graham recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Ptacek (Ptacek), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ptacek recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Bordelove (Bordelove), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bordelove recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Thayer (Thayer), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one regulatory event, alleging that Thayer recommended unsuitable investments in different investment products including debt securities among other allegations…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker John Dougherty (Dougherty) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Dougherty was employed by LPL Financial LLC…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Mcgonigle (Mcgonigle), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one regulatory event, alleging that Mcgonigle recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kultar Bindra (Bindra), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bindra recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Wittkopf (Wittkopf), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wittkopf recommended unsuitable investments in different investment products including debt securities among other allegations…
Currently financial advisor Jason Gaylor (Gaylor), currently employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…