Articles Tagged with LPL Financial LLC

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

FINRA BrokerCheck shows a pending customer complaint on June 13, 2022.

Claimant alleges that during the time period October 2017 to November 2020, representative consolidated funds into an account without consulting with the accountholder as to whether changes should be made to the beneficiary elections.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Schueman (Schueman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schueman 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 $93,231.00 on June 08, 2022.

Claimant alleges representative’s recommendation to withdraw funds from an annuity caused Claimant financial harm. Time period: August 2018 to July 2020.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker David Del Rio (Del Rio) 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 Del Rio was employed by LPL Financial LLC at the time of the activity.  If you have been a victim of Del Rio’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 $3,000,000.00 on June 15, 2022.

Claimant alleges that during the approximate time period 2014-2018, representative engaged in selling away and that representative used client funds for his own personal benefit.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Giegerich (Giegerich), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Giegerich 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 $100,001.00 on June 14, 2022.

Claimant alleges financial adviser recommended investments that were unsuitable. Claimant generally alleges causes of action of suitability, misrepresentation, breach of contract, breach of fiduciary duty, and negligence.

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

FINRA BrokerCheck shows a settled customer complaint on June 22, 2022.

Arbitration: Beginning in the summer of 2021, Claimant states her Financial Advisor (FA) placed her in unsuitable investments as compared to her stated financial circumstances, objectives, and risk tolerance.\, \, Complaint: Client complained that the financial advisor assured her the account would grow and that the investments she was placed in were not in accordance of her financial objectives. (9/7/2021-6/22/2022)

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

FINRA BrokerCheck shows a settled customer complaint on June 22, 2022.

Claimant alleges that Financial Advisor acted recklessly and carelessly when he recommended and sold unsuitable variable annuities that entailed an unnecessary level of risk and concentration, then failed to remind client of material attributes that could have prevented a costly liquidation.

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

FINRA BrokerCheck shows a settled customer complaint on July 08, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

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

FINRA BrokerCheck shows a settled customer complaint on July 08, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

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

FINRA BrokerCheck shows a settled customer complaint on July 08, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kane (Kane), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kane 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 $164,964.84 on July 15, 2022.

Unsuitable recommendations, misrepresentation and omission.

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New York, NY 10017
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#1
Montclair, NJ 07042
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