Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cheryl Marquez (Marquez), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marquez 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 $119,594.09 on September 17, 2020.

Clients, through attorney, allege that the rr did not follow explicit instructions to sell and failed to inform them about the status of their investment resulting in a loss in their account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Correal (Correal), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Correal 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, 2020.

Claimant alleges, inter alia, unsuitability with respect to investments – August 2014 to June 2015.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Lieberfarb (Lieberfarb), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lieberfarb 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 $35,000.00 on September 24, 2020.

When your financial advisor is providing advice they must adhere to the SEC’s Regulation Best Interest (Reg BI) rule and standard of care.  Reg BI replaced the former “suitability” rule and created a ‘best interest’ standard for brokerage firms and registered representatives. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities.  Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Ragusa (Ragusa), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ragusa 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 $22,322.00 on September 24, 2020.

Claimant-naked owner alleges that certain alternative investments purchased for usufruct account were unsuitable. Activity period:  2/2015 – 9/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Farley (Farley), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Farley 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 $42,000.00 on September 24, 2020.

Claimant alleges that one of the investments purchased for his portfolio in 2013 was unsuitable because the price of the investment allegedly declined in June of 2020.  activity period:  4/2013 to 7/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Warner (Warner), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Warner 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 October 13, 2020.

The customer alleged that the representative misrepresented the speculative nature of an alternative investment and made the unsuitable recommendation in pursuit of higher commissions.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Yelverton (Yelverton), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Yelverton 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 $30,000.00 on October 19, 2020.

Customer alleges unsuitable alternative investment recommendation. Activity period:  12/2014 to 9/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Roybal (Roybal), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roybal 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 $21,887.48 on October 23, 2020.

Client alleges rep failed to follow instructions to invest assets into managed account , resulting in monetary loss.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Bradley (Bradley), currently associated with LPL Financial LLC / Visions Analysis LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bradley 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 $200,000.00 on October 26, 2020.

RECOMMENDED INVESTMENTS INCONSISTENT WITH INVESTOR’S ‘GROWTH AND INCOME’ OBJECTIVE. ACTIVITY PERIOD:  MARCH 2014 TO PRESENT.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Biedebach (Biedebach), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Biedebach 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 $4,846.96 on October 30, 2020.

Failure to keep an account in cash allegedly against the client’s instructions. The time period is 04/2020 – 09/2020.

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