LPL ENTERPRISE

There are Recent Customer Complaints with Broker Rachel Broytman in Firm LPL Enterprise, LLC

April 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rachel Broytman (Broytman), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Broytman 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 $38,658.92 on January 23, 2026.

Customer alleges the rep misrepresented the policy convincing him to assume the policy for the tax advantages it offered.

Broker Francis Dougherty in LPL Enterprise, LLC Firm Has Customer Complaint

April 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Dougherty (Dougherty), currently associated with LPL Enterprise, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dougherty recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 05, 2026.

The client alleges the advisor, without permission, opened three insurance policies in her and her husband’s names.

Broker Gayle Hawkins in LPL Enterprise, LLC Firm Has Customer Complaint

April 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 10, 2026.

Customer alleges advisor did not discuss multiple options while recommending annuity.

Broker Brandon Whaley in LPL Enterprise, LLC Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Whaley (Whaley), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Whaley 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 $20,000.00 on September 20, 2020.

Client alleges misrepresentation regarding managed account investment. Activity dates 09/02/2020-09/02/2020.

Broker Betty Fenton in LPL Enterprise, LLC Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Betty Fenton (Fenton), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fenton 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 $69,000.00 on November 04, 2020.

Claimant alleges that he was recommended unsuitable alternative investments, FSKR and Watermark Lodging Trust, for his retirement account.

There are Recent Customer Complaints with Broker Francis Dougherty in Firm LPL Enterprise, LLC

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Dougherty (Dougherty), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dougherty 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 $1,000,000.00 on November 20, 2020.

Customer alleges unsuitable alternative investment recommendations. Activity period: 7/15/15 to 11/20/20.

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.