LPL Financial LLC

Broker Michaela Rauscher in LPL Financial LLC Firm Has Customer Complaint

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michaela Rauscher (Rauscher), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rauscher 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 $20,000.00 on January 30, 2026.

Customer alleges the representative did not act in the best interest of the retail customer when recommending investment to the customer in April 2020.

Broker Shomir Mukherjee in LPL Financial LLC Firm Has Customer Complaint

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shomir Mukherjee (Mukherjee), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mukherjee 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 $65,000.00 on January 30, 2026.

Customer alleges the representative and the firm did not act in the best interest of the retail customer when recommending investment to the customer between 2020-2022.

There are Recent Customer Complaints with Broker Nicholas Photiadis in Firm LPL Financial LLC

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Photiadis (Photiadis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Photiadis 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 $288,000.00 on January 30, 2026.

Customer alleges that an investment made in December of 2019 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Earl Newsome in LPL Financial LLC Firm Has Customer Complaint

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Earl Newsome (Newsome), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Newsome 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 $499,000.00 on January 30, 2026.

The customers allege that their investment in two (2) indexed universal life insurance policies in 2016 was poorly designed and unsuitable for their financial circumstances.

There are Recent Customer Complaints with Broker Joseph Lauzon in Firm LPL Financial LLC

April 6, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Joseph Lauzon (Lauzon) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Lauzon was employed by LPL Financial LLC at the time of the activity. If you have been a victim of Lauzon’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $165,000.00 on February 04, 2026.

Allegations of misappropriation and unauthorized disbursements from a client account

There are Recent Customer Complaints with Broker Gregory Berg in Firm LPL Financial LLC

April 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Berg (Berg), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Berg 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 $143,000.00 on February 17, 2026.

Client alleges omission of material facts concerning a variable annuity purchased in February 2007.

There are Recent Customer Complaints with Broker Toni Iannarelli in Firm LPL Financial LLC

April 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Toni Iannarelli (Iannarelli), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Iannarelli 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 $101,000.00 on February 13, 2026.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an unsuitable securities investment for the customer’s investment objectives between February and March of 2021.

There are Recent Customer Complaints with Broker Daniel Baumgold in Firm LPL Financial LLC

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Baumgold (Baumgold), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baumgold 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 $591,000.00 on February 23, 2026.

Client alleges advisor failed to disclose asset liquidation would result in a taxable event.

Broker Melissa Dixon in LPL Financial LLC Firm Has Customer Complaint

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melissa Dixon (Dixon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dixon 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 $591,000.00 on February 23, 2026.

Client alleges advisor failed to disclose asset liquidation would result in a taxable event.

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

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Latta (Latta), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Latta 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 $443,582.65 on February 19, 2026.

Claimant alleges improper distribution of half of IRA assets to beneficiary upon death of client in September of 2025. Assets were distributed to two named beneficiaries by the custodian in September of 2025. Claimant alleges client intended to update beneficiaries to a single trust beneficiary for claimant’s benefit prior to death and submitted estate and trust documents evidencing that intent in 2022 and 2023, as well as made inquiries in 2025. Mr. Latta was the client’s financial advisor during the period in question. Claimant was client’s wife and was not a client of Mr. Latta’s.