Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Segon (Segon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Segon 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 December 14, 2020.

Claimant alleges that Registered Representative recommended investments in real estate investment trusts (REITS) but failed to disclose their illiquid and speculative nature.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Burns (Burns), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burns 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 $122,070.23 on December 09, 2020.

Time frame: 1997-2009 allegations: claimants’ counsel alleges unsuitability and misrepresentation of investments, including an adjustable life insurance policy, resulting in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Hoover (Hoover), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hoover 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 $8,000.00 on December 11, 2020.

Clients allege the RR should have known they were over-contributing to their Roth IRAs for years 2015 & 2017-2019. Clients are asking that the contributions be removed and penalties be paid by the RR and/or firm.

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

FINRA BrokerCheck shows a settled customer complaint on December 16, 2020.

Clients’ representative complained that the financial advisor improperly recommended the sale of securities and repositioning of proceeds into a single mutual fund, resulting in a commission on the sale, long term capital gains taxes and a sales charge on the mutual fund. (4/16/2019).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dominic Debruin (Debruin), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Debruin 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 $140,000.00 on December 22, 2020.

Claimants allege advisor recommended unsuitable stock and misapprpopriated funds. Activity period:  2013 to 2018 approximate.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gayle Lob (Lob), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lob 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 $65,000.00 on December 15, 2020.

Customer alleges unsuitable alternative investment recommendation. Activity Period:   5/2013 – 12/2020.

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Currently financial advisor Cheryl Brown (Brown), currently employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $450,000.00 on December 15, 2020.

Clients allege that Financial Professional misrepresented the risks associated with BDCs and that the investments were unsuitable. Date of Activity:12/21/10 to 11/16/20

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dain Stokes (Stokes), previously associated with LPL Financial LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Stokes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 01, 2021.

Customer alleges that between February 2015 and September 2019, representative recommended unsuitable variable annuities and also defrauded customer into investing in promissory notes.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Jawor (Jawor), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jawor 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 $58,000.00 on February 01, 2021.

Claimant alleges that purchases of two alternative investments for customer’s portfolio made 7 years ago were unsuitable. Activity period:  6/2013 to 2/2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Chiaro (Chiaro), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chiaro 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 $171,000.00 on February 05, 2021.

Customer alleges that broker did not execute trades in customer’s account at the time he said he would, causing losses  activity period 1/1/2020 to 5/31/2020

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