Articles Tagged with LPL Financial LLC

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

FINRA BrokerCheck shows a pending customer complaint on May 16, 2025.

Customer alleges theft even though account is closed with zero balance.

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

FINRA BrokerCheck shows a pending customer complaint on May 21, 2025.

Customers allege they suffered losses as a result of unsuitable investment recommendations relating to a fixed index annuity. Timeframe: June 2019 – January 2025

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

FINRA BrokerCheck shows a pending customer complaint on May 21, 2025.

Customer alleges failure to follow instructions and that certain investments were not in her best interest.

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

FINRA BrokerCheck shows a pending customer complaint on May 21, 2025.

Customer alleges failure to follow instructions and that certain investments were not in her best interest.

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $2,000,000.00 on May 19, 2025.

Customer alleges that investments made in ETFs and variable annuities during the time period January 2020 to March 2022 were inappropriate for the customer’s investment objectives and risk tolerance, and that representative made alleged misrepresentations concerning the investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Sep (Sep), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sep 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 $40,000.00 on May 26, 2025.

The client alleges that her representative did not provide advice in her best interest concerning an inherited annuity, including discussing alternatives and tax consequences. 03/01/2024 to 05/26/2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Claude Moore (Moore), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 $200,000.00 on June 06, 2025.

GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. Relative to specific investments made by clients, claims include violations of federal securities laws, violations ofSC Securities Act, violation of NC Securities Act, breach of contract, common law fraud, breach of fiduciary duty and, negligence and gross negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Ann Nouchi (Nouchi), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nouchi 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 $50,000.00 on June 02, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raleigh Galiano (Galiano), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Galiano 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 $250,000.00 on June 05, 2025.

Customer alleges that investments made in 2013 were unsuitable for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a settled customer complaint on July 20, 2023.

The customer alleges unauthorized trading in account from July 2021 to April 2023

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295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
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