According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas English (English), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that English 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 Mikyung Oh (Oh), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Oh 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 William Czaplewski (Czaplewski), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Czaplewski 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 Howard Kaplan (Kaplan), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kaplan 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 Glenn Frum (Frum), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frum 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 Louise (Louise), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Louise 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 Jeffrey Hejza (Hejza), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hejza 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 Lisa Ditkowsky (Ditkowsky), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ditkowsky 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 Timothy Fraser (Fraser), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fraser 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 Daniel Catone (Catone), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Catone recommended unsuitable investments in different investment products including debt securities among other allegations…