Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Evans (Evans), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Evans 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 $1,626,972.00 on March 16, 2023.

Customer alleges that advisor breached his fiduciary duties by approving cash withdrawals, which indirectly benefitted the advisor. Time period June 2021 to August 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Hall (Hall), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hall 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 $800,000.00 on April 10, 2023.

From late 2017 through 2018, the customer alleges that the Registered Representative made unsuitable recommendations of risky, illiquid investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Baize (Baize), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baize 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 April 13, 2023.

On July 17, 2018 client purchased a $500,000 7 year bond with GWG Holdings. GWG Holdings defaulted on interest payments in February 2022 and filed for Chapter 11 bankruptcy reorganization in April of 2022. GWG has a court approved Joint Chapter 11 Plan with assets in a wind down trust.

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

FINRA BrokerCheck shows a settled customer complaint on May 11, 2023.

Client alleges losses of over $250,000 in January of 2022 due to unauthorized trades, unsuitable recommendations, misrepresentation, failure to supervise by Truist, breach of fiduciary duty and violation of Virginia securities laws with respect to an account held by the claimants at representative’s previous firm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darryl Hall (Hall), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hall 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 $119,976.00 on May 03, 2023.

The clients alleged that recommendations in 2014 to purchase a VA and life insurance were not suitable based on low performance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Mcintyre (Mcintyre), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcintyre 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 $25,045.97 on April 24, 2023.

Claimant alleges that certain transactions were not executed timely, which resulted in losses in the account. Activity period: July to September 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randolph Peters (Peters), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peters 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 $100,000.00 on May 04, 2023.

Client alleges that annuity was misrepresented and unsuitable recommendation and sale of a variable annuity.

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

FINRA BrokerCheck shows a pending customer complaint on July 08, 2025.

Customer alleges that her financial advisor gave her improper advice in connection with available options arising from his brokerage account in November of 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ford Keeler (Keeler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Keeler 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 $210,000.00 on July 24, 2025.

Customers allege that investments made in 2022 were unsuitable for the customer’s investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Taddeo (Taddeo), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taddeo 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 $202,000.00 on July 29, 2025.

The clients allege misrepresentation and suitability issues concerning the advisor’s advice to purchase an illiquid variable annuity in 2010.

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Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
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