LPL Financial LLC

Broker David Carter in LPL Financial LLC Firm Has Customer Complaint

August 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Carter (Carter), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carter 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 $25,000.00 on June 16, 2025.

Power of Attorney for customer alleges that registered representative borrowed funds from customer and has failed to pay back the outstanding principal and interest.

There are Recent Customer Complaints with Broker Duncan Maceachern in Firm LPL Financial LLC

August 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Duncan Maceachern (Maceachern), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Maceachern 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 $200,000.00 on June 23, 2025.

The customer alleges that, the Registered Representative recommended unsuitable, high-risk, illiquid investments. No specific dates for the alleged activity were identified in the Statement of Claim.

There are Recent Customer Complaints with Broker Douglas Campbell in Firm LPL Financial LLC

August 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Campbell (Campbell), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Campbell 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 $250,000.00 on June 03, 2025.

Client alleges investment adviser representative was negligent and breached his fiduciary duty in 2019-2020 after purchasing a position that subsequently declined in value.

There are Recent Customer Complaints with Broker Richard Ceffalio in Firm LPL Financial LLC

August 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Ceffalio (Ceffalio), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ceffalio 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 $5,000,000.00 on July 01, 2025.

Customer alleges that investments made were unsuitable for the customer’s investment objectives and risk tolerance. Time period: October 2022 – May 2024.

Broker Gregg Burrell in LPL Financial LLC Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregg Burrell (Burrell), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burrell 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 $160,000.00 on July 07, 2025.

Customers allege that an investment made in 1999 was unsuitable for the customers’ investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Andy Gitipityapon in Firm LPL Financial LLC

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andy Gitipityapon (Gitipityapon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gitipityapon 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 $150,000.00 on September 28, 2022.

Negligence

Broker Richard Donatelli in LPL Financial LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Donatelli (Donatelli), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Donatelli 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 $400,000.00 on September 26, 2022.

Customer alleges that her financial advisor gave her improper advice in connection with available options arising from inherited IRA accounts. Activity period February 2020 to June 2021.

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

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 20, 2022.

Clients are alleging poor performance of the investments recommended by their financial professional in 2014 and 2015.

There are Recent Customer Complaints with Broker Richard Widman in Firm LPL Financial LLC

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Widman (Widman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Widman 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 $15,000.00 on June 07, 2025.

Customer’s POA alleges that licensed admin accepted excessive payment for outside business activity.

Broker Richard Ceffalio in LPL Financial LLC Firm Has Customer Complaint

August 17, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Richard Ceffalio (Ceffalio) 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 Ceffalio was employed by LPL Financial LLC at the time of the activity. If you have been a victim of Ceffalio’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,000,000.00 on June 09, 2025.

Claimant alleges selling away, unauthorized, improper transfers, improper borrowing, breach of fiduciary duty, breach of duty of good faith and fair dealing, negligence and gross negligence, breach of the Illinois Negligent misrepresentation in connection with investments made. Activity period April 2020 through June of 2025.