LPL Financial LLC

Broker David Gaffney in LPL Financial LLC Firm Has Customer Complaint

August 6, 2025 | by Staff Attorney

Currently financial advisor David Gaffney (Gaffney), currently employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint on March 20, 2025.

Claimants allege that between June 2012 and June 2023, representative made unsuitable investments in REITs.

There are Recent Customer Complaints with Broker Anthony Jovanovich in Firm LPL Financial LLC

August 6, 2025 | by Staff Attorney

Currently financial advisor Anthony Jovanovich (Jovanovich), currently employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint on March 20, 2025.

Claimants allege that between June 2012 and June 2023, representative made unsuitable investments in REITs.

Broker Michael Sloan in LPL Financial LLC Firm Has Customer Complaint

August 6, 2025 | by Staff Attorney

Currently financial advisor Michael Sloan (Sloan), currently employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint on March 20, 2025.

Claimants allege that between June 2012 and June 2023, representative made unsuitable investments in REITs.

There are Recent Customer Complaints with Broker Edward Hill in Firm LPL Financial LLC

August 5, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Edward Hill (Hill), currently employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Hill’s most recent customer complaint alleges that Hill recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on July 01, 2025.

Claimant alleges his financial professional recommended an unsuitable investment in structured notes from April 2021 – July 2025.

There are Recent Customer Complaints with Broker Jeffery Bickel in Firm LPL Financial LLC

August 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 03, 2025.

Customer alleges she had losses in bond funds that did not match her investment objectives from September 2023 through June 2025.

Broker Michael Graham in LPL Financial LLC Firm Has Customer Complaint

August 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Graham (Graham), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Graham 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 $300,000.00 on June 16, 2025.

Client alleges the advisor misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.

Broker Gary Edmonds in LPL Financial LLC Firm Has Customer Complaint

August 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Edmonds (Edmonds), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Edmonds 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 $1,300,000.00 on May 28, 2025.

Timeframe: June 2014 – 2024\, Allegations: Elderly claimant alleges her accounts were unsuitability invested in 100% equity account and a variable annuity. Claimant further alleges that the FA took discretion and failed to advise regarding surrender fee structure of annuity.

Broker Gary Paul in LPL Financial LLC Firm Has Customer Complaint

August 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 08, 2025.

Claimant alleges breach of fiduciary duty, negligence, failure to supervise, violation of FINRA Rules and industry standards as the result of a withdrawal made on November 1, 2024.

There are Recent Customer Complaints with Broker Lara Shogren in Firm LPL Financial LLC

August 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lara Shogren (Shogren), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shogren 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 $7,666.55 on April 16, 2025.

Client sent letter alleging he was misled by the RR into purchasing an annuity. Client states he thought he was purchasing a CD.

Broker Joseph Eisler in LPL Financial LLC Firm Has Customer Complaint

August 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on April 11, 2025.

Without admitting or denying the findings, Eisler consented to the sanction and to the entry of findings that he allocated shares of new issues to a customer in exchange for a portion of the customer’s realized profits when the stock was sold, in the form of excessive compensation on unrelated transactions. The findings stated that Eisler and the customer agreed that Eisler would receive a portion of the customer’s new issue profits by charging the customer additional, unearned commissions in subsequent, unrelated transactions. Eisler never disclosed the profit-sharing agreement to Morgan Stanley, nor did he obtain prior written authorization from the customer or the firm. Eisler also did not make any financial contribution to the customer’s new issue purchases and, although he shared in his customer’s realized gains, Eisler did not compensate the customer for any losses. Ultimately, in exchange for more than 100 new issue allocations, Eisler received more than $120,000 from the customer. The findings also stated that Eisler exchanged hundreds of text messages on his personal phone related to the firm’s securities business, including communications with the customer with whom Eisler had the new issue profit-sharing agreement. These messages included, among other things, authorizations to execute securities transactions, trade confirmations, and account performance information. By communicating through his personal texts, Eisler intended to hide his communications from his firm, and he knew that such communications violated firm policy. Eisler falsely attested to his firm in that he had complied with the firm’s prohibition against using text messages on personal devices to communicate about firm business.