Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jill Singer (Singer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Singer 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 $16,942.00 on December 28, 2025.

Customer alleges that not all terms of annuity were properly disclosed.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Shepherd (Shepherd), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shepherd 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 $1,400,000.00 on January 05, 2026.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an unsuitable securities investment for the customer’s investment objectives between March 2022 through November 2022

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

FINRA BrokerCheck shows a pending customer complaint on January 02, 2026.

Customers allege misrepresentations and failure to exercise reasonable care regarding indexed universal life insurance policy in late 2020 or early 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Shepherd (Shepherd), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shepherd 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 $1,400,000.00 on January 05, 2026.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an unsuitable securities investment for the customer’s investment objectives between March 2022 through November 2022

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

FINRA BrokerCheck shows a settled customer complaint on February 19, 2021.

The clients allege the investments they purchased in 2013-2019 were unsuitable, illiquid, and misrepresented to them by the representative. Additionally, the clients allege the firm failed to supervise the actions of the representative and to conduct adequate due diligence.

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Currently financial advisor Cole Conrad (Conrad), 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 settled customer complaint on March 01, 2021.

The complainant alleges that the REITs that were sold to him beginning in or around 2014 were unsuitable for his conservative portfolio.

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

FINRA BrokerCheck shows a settled customer complaint on March 01, 2021.

Counsel for the customer alleges unsuitable investment strategy. Activity period:  1/23/10 to 3/1/21

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

FINRA BrokerCheck shows a settled customer complaint on February 25, 2021.

The client alleges that the variable annuity she purchased in April 2013 was misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Salazar (Salazar), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Salazar 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 $100,000.00 on March 08, 2021.

Customers allege that the purchase of two investments in their portfolio, made approximately eight years ago were not suitable. Activity period:  6/2013 to 3/2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Burford (Burford), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burford 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 $25,000.00 on March 05, 2021.

Customers allege that the purchases of two investments for their overall portfolios were unsuitable. Activity Period:  2/2014 – 3/2021.

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