According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christian Johnston (Johnston), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnston 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 Richard Hill (Hill), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hill 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 Walter Less (Less), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Less recommended unsuitable investments in different investment products including debt securities among other allegations…
Previously financial advisor Kevin Mccallum (Mccallum), previously employed by brokerage firm LPL Financial LLC has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Stossel (Stossel), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stossel 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 Tyler Schultz (Schultz), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schultz 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 Shannon Moore (Moore), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 Yan Sun (Sun), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sun 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 George Gomez (Gomez), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gomez 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 Edward Baroncini (Baroncini), currently associated with LPL Financial LLC, has at least 11 disclosable events. These events include 11 customer complaints, alleging that Baroncini recommended unsuitable investments in different investment products including debt securities among other allegations…