According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Doering (Doering), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Doering 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 Brian Voss (Voss), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Voss 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 Smith (Smith), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 Chad Zitzelsberger (Zitzelsberger), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zitzelsberger 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 Zitzelsberger (Zitzelsberger), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zitzelsberger recommended unsuitable investments in different investment products including debt securities among other allegations…
Currently financial advisor Robert Li (Li), currently employed by brokerage firm LPL Financial LLC has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Moses (Moses), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moses 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 Cynthia Anderson (Anderson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 Simonitis (Simonitis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simonitis 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 Nicholas Olivas (Olivas), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Olivas recommended unsuitable investments in different investment products including debt securities among other allegations…