Articles Tagged with LPL ENTERPRISE

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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.

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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.

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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.

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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.

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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.

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mario Sclafani (Sclafani), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sclafani 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 $5,068.00 on December 02, 2025.

Customer alleges she was provided with the incorrect free look period on her annuity.

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

FINRA BrokerCheck shows a settled customer complaint on July 12, 2021.

Customer Alleges defalcation as it relates to loans taken out from a joint policy.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Frank Mastrosimone (Mastrosimone) 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 Mastrosimone was employed by LPL Enterprise, LLC at the time of the activity.  If you have been a victim of Mastrosimone’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 $100,000.00 on August 04, 2021.

It is alleged that private investment fund was inappropriate for client.

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

FINRA BrokerCheck shows a settled customer complaint on November 19, 2021.

Customer alleges that in June 2021, she was misled into purchasing a variable annuity that was not appropriate for her age and financial needs.

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