LPL Financial LLC

Broker James Ptacek in LPL Financial LLC Firm Has Customer Complaint

July 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Ptacek (Ptacek), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ptacek 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 June 24, 2025.

Customer alleges that an investment made in 2018 was unsuitable for the customer’s investment objectives and risk tolerance.

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

July 30, 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

July 30, 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 Gary Paul in LPL Financial LLC Firm Has Customer Complaint

July 30, 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.

Broker Lara Shogren in LPL Financial LLC Firm Has Customer Complaint

July 29, 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.

There are Recent Customer Complaints with Broker Jonathan Hatch in Firm LPL Financial LLC

July 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Hatch (Hatch), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hatch 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 $75,000.00 on April 26, 2025.

Customer alleges that in November 2021, advisor made unauthorized withdrawals from customer’s account.

There are Recent Customer Complaints with Broker Peter Cox in Firm LPL Financial LLC

July 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Cox (Cox), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 May 02, 2025.

Customer alleges unauthorized trades in May of 2022.

There are Recent Customer Complaints with Broker Kevin Mcbarron in Firm LPL Financial LLC

July 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 07, 2025.

Reg BI: Professional Negligence/Breach of Fiduciary Duty

There are Recent Customer Complaints with Broker Michaela Rauscher in Firm LPL Financial LLC

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michaela Rauscher (Rauscher), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rauscher 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 $80,000.00 on May 13, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

There are Recent Customer Complaints with Broker Michael Gennawey in Firm LPL Financial LLC

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Gennawey (Gennawey), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gennawey 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 $33,856.70 on May 12, 2025.

Customer, through counsel, alleges no accounting provided for interest earned resulting in withheld interest and misrepresentation regarding brokerage and advisory commissions. Client alleges forgery of signature and discrepancies surrounding interest payments & fees. Activity dates: 10/10/2022-08/31/2023.