Articles Tagged with LPL Financial LLC

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

FINRA BrokerCheck shows a settled customer complaint on July 20, 2023.

The customer alleges unauthorized trading in account from July 2021 to April 2023

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

FINRA BrokerCheck shows a pending customer complaint on July 31, 2023.

The Personal Representative (“Executor”) of a deceased client alleged that, in 2015, certain features of rate-linked Certificate of Deposits (“CDs”) were not disclosed, and further alleges the CDs were not suitable for the purchasers.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phil Andrews (Andrews), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Andrews 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 $43,000.00 on August 03, 2023.

Advisor made unsuitable recommendation of alternative investment from March 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Yahnian (Yahnian), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Yahnian 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 $25,000.00 on August 03, 2023.

[REDACTED]’s co-trustee alleges that Mr. Yahnian, the advisor of record on their Family Trust Account, converted funds in the Trust account for personal use.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Labelle (Labelle), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Labelle 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 $200,000.00 on August 10, 2023.

Customer alleges that certain alternative investments purchased for her account were unsuitable, and that representative made alleged misrepresentations concerning the investments. Time period unspecified.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Evan Lunsford (Lunsford), currently employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Lunsford’s most recent customer complaint alleges that Lunsford recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint on August 18, 2023.

Customer alleges that during the time period 2018-2020, representative made investment recommendations in structured notes tied to the energy market that were unsuitable for claimant’s investment objectives.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kelley (Kelley), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kelley 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 $2,000,000.00 on August 18, 2023.

Claimant alleges representative sold unsuitable products to Claimant and misrepresented the nature of the products and the fees during the time period 2003-2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerome Aron (Aron), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Aron 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 $50,000.00 on August 28, 2023.

The representative misrepresented the features of the product sold to the customer in 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Ignatowski (Ignatowski), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ignatowski 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 $75,000.00 on September 11, 2023.

Plaintiff alleges unsuitable recommendation and negligent misrepresentation in the sale of variable annuities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Sabo (Sabo), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sabo 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 $70,000.00 on September 22, 2023.

Claimant alleges LPL representatives made an unsuitable recommendation in 2013 to purchase an alternative investment.

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New York, NY 10017
Toll Free: 800-810-4262
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#100
Chicago, IL 60613
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#1
Montclair, NJ 07042
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