Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Paolini (Paolini), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paolini 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 $250,000.00 on July 29, 2021.

Claimant alleges the representative recommended an investment that was unsuitable.

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

FINRA BrokerCheck shows a settled customer complaint on August 09, 2021.

The customer alleges lack of proper due diligence, lack of suitability and over concentration in regards to investments in alternative and variable annuity products.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Anthony Ghiglieri (Ghiglieri), 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), Ghiglieri’s most recent customer complaint alleges that Ghiglieri recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $12,450.94 on August 18, 2021.

Customer alleges the investment in the structured product was unsuitable based on their investment profile. In addition, the customer alleges the RR misrepresented the product by not disclosing the risks.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marty Dennis (Dennis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dennis 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 August 16, 2021.

Customer alleges that his representative recommended investments in the Northstar Healthcare Income Fund and FS Energy & Power Fund in the 2014-2016 time period that were unsuitable for the customer’s investment profile and risk tolerance. The customer further asserts that he was misled about the risks and other pertinent details about the nature of the investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Kennedy (Kennedy), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kennedy 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 August 24, 2021.

Boilerplate allegations include unsuitability, breach of fiduciary duty, failure to supervise and breach of contract between January 2015 and August 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Vogel (Vogel), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vogel 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 $23,400.00 on September 10, 2021.

Beginning in or around 2020, the complainant alleges that the rep recommended that she 1035 exchange the cash value of her universal life insurance policy into a new variable life insurance policy and said there would be no penalties for doing so.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rashard Cook (Cook), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cook 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 September 07, 2021.

Claimant alleges REIT investments purchased were misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricky Ferrara (Ferrara), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ferrara 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 September 02, 2021.

Claimant alleges that certain investments purchased for his portfolio are unsuitable. Activity period 7/2014 – 9/2/2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Turcott (Turcott), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Turcott 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 September 23, 2021.

CLIENTS ALLEGE THAT UNSUITABLE INVESTMENTS FOR THEIR AGE WERE MADE AND THAT THEIR SUGGESTIONS WERE NOT FOLLOWED. TIME PERIOD IS 12/2019 THROUGH 12/2020

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

FINRA BrokerCheck shows a settled customer complaint on September 23, 2021.

CLIENT ALLEGES RR DOLLAR COST AVERAGED ASSETS FROM MONEY MARKET TO MUTUAL FUNDS STARTING IN 04/2020 INSTEAD OF INVESTING THE FULL AMOUNT RIGHT AWAY WHICH RESULTED IN LOST MARKET OPPORTUNITY.

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