LPL ENTERPRISE

Broker James Defano in LPL Enterprise, LLC Firm Has Customer Complaint

November 28, 2025 | by Staff Attorney

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.

Broker Andrew Hess in LPL Enterprise, LLC Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Michael Arteca in Firm LPL Enterprise, LLC

November 15, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Travis Mcclarney in Firm LPL Enterprise, LLC

November 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 08, 2022.

Customer alleges that he was misled regarding the terms and conditions of a Variable Universal Life policy purchased in April 2022. Customer requests the cancellation of the policy and the return of premiums.

There are Recent Customer Complaints with Broker David Lesko in Firm LPL Enterprise, LLC

November 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lesko (Lesko), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lesko 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 $5,000.00 on August 22, 2022.

Client alleges that an unsuitable bond was bought in his account causing him to lose money

Broker John Clark in LPL Enterprise, LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Clark (Clark), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 $25,000.00 on September 22, 2025.

Customer alleges that an investment made in September 2023 was unsuitable for the customer’s investment objectives and risk tolerance.

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

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andreas Heinrich (Heinrich), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heinrich 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 $43,087.88 on October 03, 2025.

Customer alleges that unsuitable insurance products were sold as investments in December 2020. Allegations include a failure to disclose charges, expenses and fees.

Broker Andrew Groebner in LPL Enterprise, LLC Firm Has Customer Complaint

October 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Groebner (Groebner), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Groebner 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 $73,380.48 on February 25, 2025.

Due to a clerical error, the client's funds were invested into the incorrect fund causing a tax issue for the client.

There are Recent Customer Complaints with Broker Ryan Turner in Firm LPL Enterprise, LLC

October 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Turner (Turner), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Turner 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 $109,290.47 on July 08, 2025.

Customers allege they suffered losses as a result of unauthorized trading that occurred in January 2025, related to a variable annuity that was purchased in 1986.

Broker Scott Davis in LPL Enterprise, LLC Firm Has Customer Complaint

September 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $19,331.00 on December 08, 2022.

Customer Alleges the rep did not fully disclose all the facts regarding Tax Consequences.