LPL Financial LLC

There are Recent Customer Complaints with Broker Kenneth Speight in Firm LPL Financial LLC

December 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Speight (Speight), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Speight 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 $30,300.00 on March 10, 2022.

Customer alleges that he was misled when he purchased a Variable Universal Life Insurance policy in April 2019

There are Recent Customer Complaints with Broker Ronald Weatherly in Firm LPL Financial LLC

December 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Weatherly (Weatherly), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weatherly 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 $157,000.00 on March 11, 2022.

Upon the death of a joint owner the annuity contract was liquidated and distributed to the named beneficiaries. [REDACTED] contends he was the surviving joint owner and should have retained control of the annuity assets. \<char_lb_r>\, \<char_lb_r>\, Contract opened January 2017. Joint owner passed away in early 2021. Surviving joint owner called asking about contract balance and beneficiary listing 2/8/2021 and 2/9/2021.

There are Recent Customer Complaints with Broker Nicholas Photiadis in Firm LPL Financial LLC

December 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Photiadis (Photiadis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Photiadis 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 $99,999.99 on March 09, 2022.

Claimant alleges that his beneficial share of funds from a friend’s account were less than they should have been due to representative’s recommendation that his friend invest in alternative investments which were allegedly unsuitable for the friend’s investment objectives. Activity period 2011-2019.

Broker Christopher Garcia in LPL Financial LLC Firm Has Customer Complaint

December 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Garcia (Garcia), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Garcia 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 $14,705.13 on March 18, 2022.

Brokers are required to adhere to the SEC’s Regulation Best Interest (Reg BI) standard of care under the Securities Exchange Act of 1934 which establishes a ‘best interest’ standard for broker-dealers and associated persons. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened.

There are Recent Customer Complaints with Broker Gilbert Singer in Firm LPL Financial LLC

December 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 18, 2022.

Customer alleged that investment in variable annuity in September 2007 was unsuitable

There are Recent Customer Complaints with Broker Kimberly Parker Hansen in Firm LPL Financial LLC

December 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2022.

Customer alleges the managed account recommended to her was not in her best interests and that the performance.

Broker Beverly Cox in LPL Financial LLC Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Beverly Cox (Cox), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 $44,924.00 on March 29, 2022.

Client alleges she received poor advice from her representative sometime in 2021 related to indirect rollover transactions which created a large tax liability.

Broker Michael Myers in LPL Financial LLC Firm Has Customer Complaint

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Myers (Myers), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Myers 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 $5,000.00 on April 13, 2022.

Customer alleges financial professional’s recommendation resulted in tax liability.

There are Recent Customer Complaints with Broker Vladimir Greben in Firm LPL Financial LLC

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vladimir Greben (Greben), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Greben 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 $100,000.00 on April 08, 2022.

Claimants allege representative over-concentrated their savings in alternative investments and that representative made alleged misrepresentations concerning the investments. The time period is unknown but believed to be prior to 2015.

Broker Kevin Curry in LPL Financial LLC Firm Has Customer Complaint

November 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Curry (Curry), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Curry 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 $5,000.00 on April 20, 2022.

Customer is dissatisfied with the account performance and stock selection.