LPL Financial LLC

Broker Patrick Naughton in LPL Financial LLC Firm Has Customer Complaint

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Naughton (Naughton), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Naughton 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 $180,000.00 on December 23, 2020.

Alleges that his financial professional recommended that he invest in a reit which was unsuitable for his investment portfolio. Activity period: 1/2014 to 12/2020.

Broker Brian Gaffney in LPL Financial LLC Firm Has Customer Complaint

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Gaffney (Gaffney), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gaffney 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 $135,000.00 on December 23, 2020.

Customer alleges that his financial professional recommended that he invest in a reit and a business development company which were unsuitable for his investment portfolio. Activity period: 5/2014 to 12/2020.

There are Recent Customer Complaints with Broker Matthew Greene in Firm LPL Financial LLC

May 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 04, 2026.

Customer alleges that representative failed to adequately disclose risks in connection with an investment recommendation.

Broker Gabriel Martin in LPL Financial LLC Firm Has Customer Complaint

May 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 04, 2026.

Customer alleges that representative failed to adequately disclose risks in connection with an investment recommendation.

There are Recent Customer Complaints with Broker Jeremy Friedman in Firm LPL Financial LLC

May 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Friedman (Friedman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Friedman 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 $89,964.00 on March 04, 2026.

Executrix alleges advisor failed to inform client that an investment strategy recommendation would result in significant capital gains and possible tax consequences.

There are Recent Customer Complaints with Broker Jimmy Lee in Firm LPL Financial LLC

May 18, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jimmy Lee (Lee), 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), Lee’s most recent customer complaint alleges that Lee recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $140,000.00 on March 12, 2026.

Customers allege financial professional misrepresented investments in structured notes which were unsuitable.

There are Recent Customer Complaints with Broker William Tunink in Firm LPL Financial LLC

May 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on March 13, 2026.

Respondent Tunink failed to respond to FINRA requests for information.

Broker Troy Miller in LPL Financial LLC Firm Has Customer Complaint

May 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy 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 pending customer complaint with a damage request of $900,000.00 on March 12, 2026.

Customer alleges the representative failed to stop the Customer from withdrawing funds from his own accounts that the Customer then invested in an allegedly fraudulent scheme.

There are Recent Customer Complaints with Broker Jonathan Blount in Firm LPL Financial LLC

May 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Blount (Blount), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blount 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 $192,000.00 on March 17, 2026.

Customers alleged the registered representative misrepresented the investments made in May of 2017 through October 2020 and made unsuitable investments based on their investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Robert Quinlan in Firm LPL Financial LLC

May 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Quinlan (Quinlan), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Quinlan 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 $1,700,000.00 on March 18, 2026.

Customers alleged that advisor embarked on a high risk strategy of concentrating account\, positions with equity purchases and call options. Customer states positions in account did not\, reflect investment objectives or risk tolerance. Portfolio sustained losses unacceptable to\, customers and in customers opinion, demands restitution. Advisor vehemently denies the\, allegations and intends to defend the case vigorously.