LPL ENTERPRISE

There are Recent Customer Complaints with Broker Gary Stern in Firm LPL Enterprise, LLC

June 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Stern (Stern), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stern 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 $40,991.34 on January 06, 2026.

Registered Rep failed to ensure outstanding policy loans were paid off prior to application submission, resulting in an unintended taxable event.

Broker Peter Watson in LPL Enterprise, LLC Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 16, 2026.

Customer alleges that from November 2023 through January 2024, they were the victims of a complex scam and the representative failed to uncover and stop the scam.

Broker Kristin Pennock Jackson in LPL Enterprise, LLC Firm Has Customer Complaint

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kristin Pennock Jackson (Pennock Jackson), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pennock Jackson 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 $45,000.00 on December 02, 2020.

Customer Alleges the rep did not fully disclose all the facts regarding the replacement of her policy.

Broker Dory Adoracion Jacinto in LPL Enterprise, LLC Firm Has Customer Complaint

May 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dory Adoracion Jacinto (Jacinto), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jacinto 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 $9,807.47 on March 11, 2026.

Customer alleges unauthorized trade activity, and issues with unsuitable investments in February 2026.

Broker Matthew Shull in LPL Enterprise, LLC Firm Has Customer Complaint

May 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 18, 2020.

Verbal complaint was initially received on 1/13/2020, however, it did not meet our criteria for re-portability and is only being reported now due to the settlement of $17,229.58.

There are Recent Customer Complaints with Broker Charles Pascoe in Firm LPL Enterprise, LLC

April 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Pascoe (Pascoe), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pascoe 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 $35,000.00 on August 03, 2020.

Customer Alleges that the rep did not fully disclose all the facts regarding the purchasing of an insurance policy, suitability, the dollar amount and duration of premium payments, and replacement.

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.