LPL Financial LLC

Broker Graham Jepsen in LPL Financial LLC Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Graham Jepsen (Jepsen), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jepsen 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 13, 2022.

Clients allege options were not properly established causing an increase in the expected captial gains.

Broker Ryon Frisch in LPL Financial LLC Firm Has Customer Complaint

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryon Frisch (Frisch), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frisch 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 $150,395.00 on October 17, 2022.

The complainant alleges that in 2021, the representative had him move the funds from his two existing variable annuities into two new variable annuities, telling him that the new variable annuities offered the same GMIB benefits as his existing annuities. The complainant alleges that he has since learned that neither of his new AXA variable annuities have GMIB protection, which has caused him financial harm.

There are Recent Customer Complaints with Broker Barry Kemp in Firm LPL Financial LLC

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Kemp (Kemp), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kemp 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 $23,500.00 on October 13, 2022.

Customer’s daughter alleged bond was unsuitable given the maturity date.

Broker Alvaro Jiron in LPL Financial LLC Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alvaro Jiron (Jiron), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jiron 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 $100,000.00 on August 11, 2025.

Client indicated financial professional misrepresented this product as safe and secure.

Broker Patrick Infante in LPL Financial LLC Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Infante (Infante), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Infante 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 $1,926.68 on June 03, 2025.

Customer alleged rep failed to follow instructions to liquidate two accounts and only liquidated one account in 2025.

There are Recent Customer Complaints with Broker Ricky Meyer in Firm LPL Financial LLC

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricky Meyer (Meyer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meyer 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 $8,397.17 on September 02, 2025.

Customer alleges that she was not informed of illiquid nature of REIT at time of purchase.

There are Recent Customer Complaints with Broker Broc Wavra in Firm LPL Financial LLC

October 31, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 12, 2025.

The client alleges that his advisor “forged” and misrepresented annuity paperwork.

There are Recent Customer Complaints with Broker Francisco Gomez in Firm LPL Financial LLC

October 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francisco Gomez (Gomez), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gomez 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 $395,869.90 on September 15, 2025.

Sold annuities in 2020 without disclosing all material terms. Client also provided loans below market rates to entities allegedly affiliated with advisor.

Broker David Jerke in LPL Financial LLC Firm Has Customer Complaint

October 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Jerke (Jerke), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jerke 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 $100,000.00 on September 12, 2025.

The client alleges the advisor offered (selling-away) and the client agreed to an off-platform cryptocurrency investment 11/1/2024-9/26/25

Broker Jeremiah Vickery in LPL Financial LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 22, 2025.

In or around 2014, the complainant alleges that she was advised to cash out two inherited 401k plans early, which caused her to incur penalties, in order to purchase a life insurance policy whose value is now depleted.