LPL ENTERPRISE

There are Recent Customer Complaints with Broker James Mashey in Firm LPL Enterprise, LLC

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mashey (Mashey), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mashey 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 $60,000.00 on February 25, 2025.

Customer Alleges that the rep did not fully disclose all the facts (information) regardingfees, charges and expenses. This matter is being reported consistent with FINRA rulespertaining to the reporting of certain written customer complaints. The company by thisfiling makes no allegations regarding the actions of the representative.

There are Recent Customer Complaints with Broker Joanna Wang in Firm LPL Enterprise, LLC

April 12, 2025 | by Staff Attorney

Currently financial advisor Joanna Wang (Wang), currently employed by brokerage firm LPL Enterprise, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $495,000.00 on March 10, 2025.

Alleges between April 2013 and June 2015, rep engaged in misleading and fraudulent communications; unsuitable investment recommendation; unauthorized\, solicitation and selling away; failure to supervise and record keeping violations; undisclosed compensation and conflicts of interest; violations related to non-traded REIT sales.

There are Recent Customer Complaints with Broker Joel Barjenbruch in Firm LPL Enterprise, LLC

March 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joel Barjenbruch (Barjenbruch), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barjenbruch 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 $250,000.00 on September 17, 2024.

Claimants became clients in Jan 2021 and continue to be clients of representative. Claimants allege unsuitable recommendation of product.

Broker Cecilia Dicristofalo in LPL Enterprise, LLC Firm Has Customer Complaint

February 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cecilia Dicristofalo (Dicristofalo), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dicristofalo 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 $5,061.56 on January 06, 2025.

Customer purchased a Flexguard variable annuity in May 2022. In October 2024, the customer expected to lock in a certain value but received a different locked in value.

There are Recent Customer Complaints with Broker Christopher Gardella in Firm LPL Enterprise, LLC

February 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Gardella (Gardella), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gardella 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 $6,042.57 on March 11, 2024.

The Customer alleged he was misled when he purchased a variable annuity in February 2022 and has requested a refund of the surrender charges incurred.

LPL Enterprise, LLC Broker Cecilia Dicristofalo Has Customer Complaint

January 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cecilia Dicristofalo (Dicristofalo), currently associated with Lpl Enterprise, llc, has at least one disclosable event. These events include one customer complaint, alleging that Dicristofalo 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 $5,061.56 on January 06, 2025.

Customer purchased a Flexguard variable annuity in May 2022. In October 2024, the customer expected to lock in a certain value but received a different locked in value.