LPL Financial LLC

Broker Lee Nordstrom in LPL Financial LLC Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Lee Nordstrom (Nordstrom), previously associated with LPL Financial LLC, has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Nordstrom concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a final customer complaint on October 01, 2021.

Without admitting or denying the findings, Nordstrom consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA during the course of an investigation into whether he engaged in potential unsuitable and excessive trading in several customer accounts.

There are Recent Customer Complaints with Broker Mark Young in Firm LPL Financial LLC

January 22, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Mark Young (Young) 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 Young was employed by LPL Financial LLC at the time of the activity. If you have been a victim of Young’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $4,179,859.03 on September 29, 2021.

Misrepresentation and unsuitability alleged with regard to a private investment fund…dates 2015 to 2017

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

January 21, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Michael Barranco (Barranco) 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 Barranco was employed by LPL Financial LLC at the time of the activity. If you have been a victim of Barranco’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $3,215,649.78 on October 06, 2021.

Claimants allege selling away, unsuitability, breach of fiduciary duties, fraud and/or negligence in connection with their investment in real estate. Activity period April 2013 to June 2017.

Broker Robert Tatum in LPL Financial LLC Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

Currently financial advisor Robert Tatum (Tatum), 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 with a damage request of $100,001.00 on October 11, 2021.

Claimants allege representative made an unsuitable investment in a non-traded REIT. Time period is 01/2015 through 09/2021.

Broker Frank Van Houten in LPL Financial LLC Firm Has Customer Complaint

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Van Houten (Van Houten), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Van Houten 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 October 22, 2021.

Claimant alleges FA recommended unsuitable investment in an offshore product whose issuer is no longer solvent and is under liquidation order. Allegation Activity Dates: 12/29/2014 – 6/3/2020.

There are Recent Customer Complaints with Broker Eugene Heflin in Firm LPL Financial LLC

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Heflin (Heflin), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heflin 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 $23,000.00 on October 19, 2021.

Customer alleges that in March of 2020 the registered representative failed to follow instructions to purchase certain equities.

Broker Carlos Carrillo in LPL Financial LLC Firm Has Customer Complaint

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Carrillo (Carrillo), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carrillo 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 $17,486.30 on October 18, 2021.

Customer complaint alleges that advisor recommended the Allianz variable annuity even though his desire was to protect the initial investment/principal with only modest growth to compensate for inflation. Client stated he was not aware from the advisor of the buffer/floor feature of product and also he had a 20-day grace period to review the documentation after purchase.

There are Recent Customer Complaints with Broker David Meacham in Firm LPL Financial LLC

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Meacham (Meacham), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meacham 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 $137,000.00 on November 04, 2021.

According to a Form U5 Amendment filed by Centaurus, during the period January 2015 through September 2015, the customers allege that the Registered Representative recommended high-risk, high commission and illiquid investments.

Broker William Poulter in LPL Financial LLC Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

Currently financial advisor William Poulter (Poulter), 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 November 05, 2021.

The client alleges misrepresentation and suitability issues concerning the advisor’s advice to purchase illiquid REITs and a BDC. Client also alleges improper fees and commissions charged on his accounts. Activity period 2008-2022.

Broker Matthew Lawson in LPL Financial LLC Firm Has Customer Complaint

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Lawson (Lawson), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Lawson 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 $3,000,000.00 on November 16, 2021.

Claimant alleges that FAs misrepresented that her grandfather, a client of the same FAs, had setup a trust account for her with the FAs as trustees and that she believes account had been setup in her name and that FAs misrepresented that it was a trust to hide their alleged conversion of funds from the account