Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Lunceford (Lunceford), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lunceford 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 $140,000.00 on August 21, 2025.

Customer alleges that an investment made in July of 2013 was 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 William Song (Song), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Song 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 $459,999.00 on September 03, 2025.

THE CLIENT ALLEGES THAT HER ADVISOR, WITHOUT AUTHORIZATION, SIGNED ANNUITY PURCHASE PAPERWORK. ADDITIONALLY, THE CLIENT ALLEGES HER ADVISOR BORROWED $6,000. ALLEGATION PERIOD:  8/16/23 – 8/22/25

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

FINRA BrokerCheck shows a settled customer complaint on October 23, 2022.

5/14/21 – 5/14/21

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Benjamin Fordham (Fordham), 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), Fordham’s most recent customer complaint alleges that Fordham 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 $100,000.00 on November 07, 2022.

Claimants allege unsuitable recommendations of structured products. Activity period February 2015 to November 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Larsen (Larsen), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Larsen 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 $15,342.00 on November 15, 2022.

The clients submitted a complaint regarding the recommendation to purchase a HICOX mutual fund by a former CFS representative in February of 2021, which they subsequently sold in November of 2022. The clients allege that their former representative did not properly explain this mutual fund to them, insofar as they understood this mutual fund to be a conservative investment that would protect their principal. The clients have requested compensation for the losses they incurred upon selling their mutual fund investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Collins (Collins), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Collins 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 $15,000.00 on November 21, 2022.

Customer alleges negligence, unsuitable recommendations, negligent supervision, breach of contract and fiduciary duty in regards to an investment in a high yield corporate bond.

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

FINRA BrokerCheck shows a settled customer complaint on November 28, 2022.

Customer alleged failure to follow instructions in advisory account. (3/18/20-1/11/21)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rami Sassoon (Sassoon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sassoon 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 $300,000.00 on February 02, 2023.

Claimants allege they were recommended and overconcentrated in unsuitable investments.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker James Couture (Couture) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Couture was employed by LPL Financial LLC at the time of the activity.  If you have been a victim of Couture’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on February 06, 2023.

Customer alleges misappropriation of funds between January 2011 and January 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Louis Nemeth (Nemeth), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nemeth 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 $50,000.00 on February 06, 2023.

Clients allege an unsuitable and unauthorized investment in a penny stock. Activity occurred on August 5, 2022.

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