LPL ENTERPRISE

There are Recent Customer Complaints with Broker Patrick Adams in Firm LPL Enterprise, LLC

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Adams (Adams), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Adams recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $12,846.00 on March 18, 2021.

Customer Alleges the rep failed to disclose Tax Consequences.

Broker Bashar Hakim in LPL Enterprise, LLC Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bashar Hakim (Hakim), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hakim recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $30,000.00 on April 15, 2021.

Client alleges the representative failed to disclose the tax consequences of withdrawing funds from her annuity.

There are Recent Customer Complaints with Broker Andreas Dailey in Firm LPL Enterprise, LLC

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andreas Dailey (Dailey), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dailey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 11, 2021.

Customer alleges the rep did not fully disclose all the facts regarding suitability.

There are Recent Customer Complaints with Broker Tran Luong in Firm LPL Enterprise, LLC

February 13, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Tran Luong (Luong) 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 Luong was employed by LPL Enterprise, LLC at the time of the activity. If you have been a victim of Luong’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $19,000.00 on June 14, 2021.

Customer Alleges misappropriation and misrepresentation via non-genuine signatures.

There are Recent Customer Complaints with Broker Mario Sclafani in Firm LPL Enterprise, LLC

February 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mario Sclafani (Sclafani), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sclafani recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,068.00 on December 02, 2025.

Customer alleges she was provided with the incorrect free look period on her annuity.

There are Recent Customer Complaints with Broker Brian Kazinec in Firm LPL Enterprise, LLC

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Kazinec (Kazinec), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kazinec recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 12, 2021.

Customer Alleges defalcation as it relates to loans taken out from a joint policy.

There are Recent Customer Complaints with Broker Frank Mastrosimone in Firm LPL Enterprise, LLC

January 29, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Frank Mastrosimone (Mastrosimone) 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 Mastrosimone was employed by LPL Enterprise, LLC at the time of the activity. If you have been a victim of Mastrosimone’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on August 04, 2021.

It is alleged that private investment fund was inappropriate for client.

There are Recent Customer Complaints with Broker Phillip Wight in Firm LPL Enterprise, LLC

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Wight (Wight), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wight recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on November 19, 2021.

Customer alleges that in June 2021, she was misled into purchasing a variable annuity that was not appropriate for her age and financial needs.

Broker Barry Gilrane in LPL Enterprise, LLC Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Gilrane (Gilrane), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gilrane recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $400,000.00 on January 21, 2022.

Client alleges the rep recruited him for employment at his prior firm and omitted material facts concerning the opportunity and made representations that were false and misleading.

Broker Li Kelly in LPL Enterprise, LLC Firm Has Customer Complaint

December 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Li Kelly (Kelly), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kelly recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,950,000.00 on October 25, 2025.

Claim purports unsuitable recommendation of corporate bond in which the issuer subsequently declared bankruptcy. Bond purchases were made in 2019 by four individuals in this combined case.