Articles Tagged with LPL ENTERPRISE

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

FINRA BrokerCheck shows a settled customer complaint on January 27, 2023.

Customer alleges the rep did not fully disclose all the facts regarding purchasing an annuity as a retirement plan.

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

FINRA BrokerCheck shows a settled customer complaint on February 28, 2023.

Customer alleges that the 2 variable annuities she purchased in 2019 and 2020 were not right for her. Customer requests to close her accounts without penalties or fees

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Noele Pace (Pace), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pace 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 $8,165.80 on March 20, 2023.

Customer Alleges the rep failed to disclose charges, expenses and fees.

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2023.

Customer is alleging Breach of Fiduciary Duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stefan Dolgoff (Dolgoff), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dolgoff 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 09, 2025.

Customers allege they suffered losses as a result of unauthorized trading relating to a variable annuity in January 2025.

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2023.

Customer Alleges that the rep did not fully disclose all the facts regarding contingent deferred sales charges and that he was not delivered the contract.

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

FINRA BrokerCheck shows a settled customer complaint on September 27, 2022.

Customer Alleges the rep did not fully disclose all the facts regarding investment objectives and suitability.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christina Blovad (Blovad), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blovad 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 $14,210.84 on June 26, 2025.

Failure to disclose fees.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dana Pelkey (Pelkey), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pelkey 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 $35,415.13 on November 27, 2023.

Customer alleges that the rep quoted an incorrect premium when the policy was sold, which caused the policy to lapse.

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

FINRA BrokerCheck shows a settled customer complaint on April 16, 2025.

Client alleged the variable annuity purchased in March of 2023 was not appropriate due to his liquidity needs.

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