Articles Tagged with LPL ENTERPRISE

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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.

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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.

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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.

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hess (Hess), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hess 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 $24,000.00 on October 24, 2025.

Claimant alleges that in 2015 and 2016, former advisor Hess recommended that she invest her retirement funds in a ROTH IRA account rather than contribute to her 403B account through her employer. In July 2025, Claimant discovered that she had not been contributing to the Ameriprise ROTH IRA account. Claimant claims that Hess should have followed up with her on contributing to her ROTH, but did not.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Langer (Langer), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Langer 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 $559,055.00 on October 31, 2025.

Customer alleges the registered representative affixed the electronic signature of a contact person to a document without authorization. May 6, 2025.

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Defano (Defano), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Defano 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 $9,662.00 on April 27, 2022.

Client was mislead about the dollar amount of the premium payments and customer is also alleging failure to disclose charges, expenses and fees.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hess (Hess), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hess 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 $24,000.00 on September 01, 2025.

Customers allege that in December of 2016, representative recommended an investment strategy in systematic investment plans that was inappropriate for the customers’ investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Arteca (Arteca), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arteca 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 $78,780.00 on June 15, 2022.

Customer Alleges that the rep did not fully disclose surrender charges and all the facts regarding suitability.

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