Articles Tagged with LPL Financial LLC

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

FINRA BrokerCheck shows a settled customer complaint on June 05, 2020.

Client complained the financial advisor liquidated certain assets without her authorization. (10/28/2019)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curtis Howard (Howard), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Howard 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 $5,015.00 on June 04, 2020.

Customer alleges failure to follow instructions. Activity period:  2/12/20 to 6/4/20.

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

FINRA BrokerCheck shows a settled customer complaint on June 11, 2020.

Customer alleged that he instructed on June 3, 2020 that his account be sold if its value dropped to $487,500, and that these instructions were not followed. Customer sought compensation of between $7,000 and $16,980.93 in losses after account declined further in value. Activity period:  6/3/20 to 6/11/20.

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

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

Client alleges rr sold off a portion of his portfolio on March 18, 2020 and March 19, 2020 without his knowledge or consent

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Baker (Baker), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baker 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 $10,966.86 on June 16, 2020.

Claimant alleges that her Financial Representative made two unsuitable investments in a managed account, which were ultimately sold at a loss to claimant. Activity period: 6/12/2018-5/29/2019

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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 one disclosable event. These events include one customer complaint, 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.

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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 one disclosable event. These events include one customer complaint, 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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Izaguirre (Izaguirre), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Izaguirre 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 $600,000.00 on July 07, 2020.

Claimant alleges losses in connection with her investments in alternative investments and an annuity. Claimant alleges she was misled about the details of the investments and therefore, incurred damages as a result of her purchases. Activity period:  5/8/14 to present.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Khary Miller (Miller), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $21,420.00 on July 08, 2020.

Customer purhased reit in 2014 that has gone down in value and alleges representative told her at time of purchase that she would receive the investment principal plus all dividends at end of five years.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alphonse Arminio (Arminio), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arminio 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 $13,922.00 on July 14, 2020.

Client has made allegations that the representative misstated investment risk and objectives.

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