LPL Financial LLC

There are Recent Customer Complaints with Broker Frederick Guist in Firm LPL Financial LLC

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Guist (Guist), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Guist 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 July 01, 2020.

Claimant alleges that he suffered losses in connection with three alternative investments that were purchased for claimant at another broker-dealer and not lpl. Claimant contends that the investments declined in value and seeks damages under breach of fiduciary duty and negligence theories of liability. Activity period: 4/2007 – 4/2020.

There are Recent Customer Complaints with Broker Aaron Gore in Firm LPL Financial LLC

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Gore (Gore), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gore 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 $20,000.00 on July 02, 2020.

Customer alleges that a business development company investment sold to him in 2014 was an unsuitable, high risk, speculative, high commission investment, and he suffered damages of at least $20,000.

There are Recent Customer Complaints with Broker Jason Murphy in Firm LPL Financial LLC

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Murphy (Murphy), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murphy 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 $500,000.00 on March 09, 2020.

Plaintiffs allege that advisor recommended an unsuitable variable life insurance policy and misrepresented the terms and benefits of the policy. Activity period: 6/29/07 to 6/3/19.

Broker Michael Rainbolt in LPL Financial LLC Firm Has Customer Complaint

July 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 13, 2020.

The client alleges that the financial advisor took out a margin loan on her account without her authorization.

There are Recent Customer Complaints with Broker Wilber Aguirre in Firm LPL Financial LLC

July 28, 2026 | by Staff Attorney

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

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

The client complained that financial advisor assured her that she would not lose principal on mutual fund investment. (1/28/2020-3/9/2020)

There are Recent Customer Complaints with Broker Jeanann Kramer in Firm LPL Financial LLC

July 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeanann Kramer (Kramer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kramer 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 $11,475.00 on March 18, 2020.

In the financial industry advisors must meet the requirements of the SEC’s Regulation Best Interest (Reg BI) in providing investment advice and services. Reg BI established a ‘best interest’ standard for brokerage firms and registered representatives. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts.

Broker Kenneth Christie in LPL Financial LLC Firm Has Customer Complaint

July 26, 2026 | by Staff Attorney

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

Customer alleges Failure to follow instructions to not make investments in her Discretionary Managed Accounts

There are Recent Customer Complaints with Broker Ilan Tsapovski in Firm LPL Financial LLC

July 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ilan Tsapovski (Tsapovski), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tsapovski 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 $36,588.87 on March 24, 2020.

CLIENT OPENED CITI ADVISOR NON-DISCRETIONARY MANAGED ACCOUNT ON 2/14/2020. CLIENT ALLEGED THAT HE GAVE REGISTERED REPRESENTATIVE EXPLICIT INSTRUCTIONS THAT HIS MONEY WAS TO BE INVESTED IN A TRIPLE TAX FREE MUNICIPAL BOND FUND, AND WAS TOLD IF HE SHOULD EVER NEED ANY OF THE FUNDS HE COULD GET THEM ON A DAY’S NOTICE. INSTEAD OF FOLLOWING HIS INSTRUCTIONS, CLIENT ALLEGED REGISTERED REPRESENTATIVE BOUGHT AND SOLD VARIOUS SECURITIES OVER A PERIOD OF A MONTH DESPITE HIS OBJECTIONS. CLIENT CLAIMED THAT HE TRIED TO LIQUIDATE HIS ACCOUNT WHEN IT WAS DOWN APPROXIMATELY $20k ON MARCH 16 BUT WAS UNABLE TO DO SO UNTIL MARCH 18. CLIENT STATED THAT HIS ACCOUNT LOST APPROXIMATELY $37K AND HE WANTS TO RECOVER THE FUNDS. OCCURRENCE DATE: 2/18/2020 – 3/18/2020. REALIZED LOSSES: $36,588.87.

There are Recent Customer Complaints with Broker Patrick Pepper in Firm LPL Financial LLC

July 23, 2026 | by Staff Attorney

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

Customer amended allegations to allege misrepresentation of mutual funds.

Broker Daniel Claric in LPL Financial LLC Firm Has Customer Complaint

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Claric (Claric), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Claric 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 $88,000.00 on March 27, 2020.

In 2018, the client’s daughter took unauthorized distributions in the amount of $88,000 from her father’s IRA that were not authorized.