Articles Tagged with LPL ENTERPRISE

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Groebner (Groebner), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Groebner 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 $73,380.48 on February 25, 2025.

Due to a clerical error, the client's funds were invested into the incorrect fund causing a tax issue for the client.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Turner (Turner), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Turner 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 08, 2025.

Customers allege they suffered losses as a result of unauthorized trading that occurred in January 2025, related to a variable annuity that was purchased in 1986.

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $19,331.00 on December 08, 2022.

Customer Alleges the rep did not fully disclose all the facts regarding Tax Consequences.

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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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