Articles Tagged with LPL Financial LLC

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

FINRA BrokerCheck shows a pending customer complaint on March 03, 2021.

Claimants alleges that LPL and its registered representative negligently advised their client to purchase assets and make transfers between trusts which violated the terms of the trusts and constituted a breach of fiduciary duty. Plaintiff alleges he suffered financial loss as result of the alleged conduct.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Lyon (Lyon), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lyon 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 12, 2021.

Ms. [REDACTED] contends around 02/17/2021 CMIA purchased illiquid investments that carried a risk of loss of significant principal and that this fact was concealed from her. Plaintiff contends I failed to comply with my obligations to oversee her account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Stanlick (Stanlick), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stanlick 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 $110,000.00 on March 08, 2021.

Boilerplate allegations include breach of fiduciary duty, negligence and unsuitability between May 2012 and January 2021.

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

FINRA BrokerCheck shows a settled customer complaint on March 11, 2021.

Customers alleged that income benefit rider of variable annuity issued in November 2006 was misrepresented, and sought restoration of income payments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rhett Bedwell (Bedwell), previously associated with LPL Financial LLC, has at least 4 disclosable events. These events include 3 customer complaints, one regulatory event, alleging that Bedwell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 17, 2021.

Customer alleges that representative caused her to transfer funds to business entity that representative purported to be affiliated with, and used funds to invest in an unsecured promissory note without the customer’s knowledge; and that thereafter representative returned the proceeds of the promissory note to the business entity and subsequently transferred the customer’s funds first to another broker-dealer and then to a bank account that was not the customer’s account, without the customer’s knowledge and consent. Activity period:  4/3/19 to 1/29/20.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Geremy Connor (Connor), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Connor 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 $78,000.00 on March 25, 2021.

Claimants allege their financial professionals recommended they invest in two Business Development Companies that were unsuitable for their financial portfolio.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Fross (Fross), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fross 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 March 20, 2021.

Claimant alleges unsuitability in connection with a reit purchase made over 12 years ago at sii investments. Activity period – 2008 – 2011.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Melikidse (Melikidse), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Melikidse 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 $350,000.00 on April 01, 2021.

Customer alleges  REIT and Business Development Company purchases were unsuitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hathaway (Hathaway), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hathaway 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 $8,501.00 on April 07, 2021.

Customer alleges that during the approximate time period of June 2020 to February 2021, the Representative promised him that the money in his variable universal life insurance (VUL) policy was safe and the Customer would receive the VUL policy’s Accumulated Value upon a policy change to a term policy but no policy change occurred. The VUL policy lapsed due to non-payment of premium and the Customer did not receive any funds because the surrender charges exceeded the VUL policy’s Accumulated Value. The Customer is requesting a full refund of premiums paid into the VUL policy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joyanna Argeny Wildern (Argeny Wildern), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Argeny Wildern 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 $5,000.00 on April 14, 2021.

Client alleges that 2019 variable annuity purchase was unsuitable.

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