Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hargis (Hargis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hargis 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 $6,783.00 on May 14, 2020.

Customer alleges failure to follow instruction to move to cash. Time period of claim: 11/6/2009 to 5/14/2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lex (Lex), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lex 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 $110,000.00 on May 12, 2020.

The customer alleges alleges unsuitability, failure to follow instructions, and misrepresentation in connection with a Unit Investment Trust.

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

FINRA BrokerCheck shows a settled customer complaint on May 16, 2020.

Customer alleged that investment in etf’s was based on inaccurate and misleading information, that losses of over $18,000 had resulted, and requested reimbursement. Activity period – 11/15/19 to 4/6/20.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Stubbs (Stubbs), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stubbs 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 $16,000.00 on May 18, 2020.

Customer alleges unsuitable recommendation of advisory account and seeks reimbursement of fees.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maryanne Bessler (Bessler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bessler 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 $158,086.56 on May 19, 2020.

Claimant alleges respondent recommended that her late husband invest in certain alterntaive investments and variable annuities which were unsuitable for his investment profile. Claimant alleges that lpl failed to adequately supervise its registered representative who recommended the investments, thereby causing her and her family monetary damages. Activity period – July 2014 to May 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Nagel (Nagel), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nagel 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 $5,000.00 on May 26, 2020.

Client alleges that there were delays in processing his 1035 variable annuity exchange which caused him to incur market losses. Alleged activity dates: 1/29/20-5/26/20

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

FINRA BrokerCheck shows a settled customer complaint on May 21, 2020.

Power of Attorney for client complained that the securities in the client’s account were not suitable. (9/8/2016-5/21/2020)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Boyer (Boyer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Boyer 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 $19,500.00 on May 22, 2020.

The Firm released payment through ACH without client’s consent to pay for unauthorized credit card charges made by the client’s caregiver.

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

FINRA BrokerCheck shows a settled customer complaint on June 05, 2020.

Client complained the financial advisor liquidated certain assets without her authorization. (10/28/2019)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curtis Howard (Howard), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Howard 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 $5,015.00 on June 04, 2020.

Customer alleges failure to follow instructions. Activity period:  2/12/20 to 6/4/20.

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New York, NY 10017
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#100
Chicago, IL 60613
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#1
Montclair, NJ 07042
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