LPL Financial LLC

Broker John Yanagihara in LPL Financial LLC Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

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

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

Complaint alleged failure to follow instructions. (5/24/2022-2/6/2023)

There are Recent Customer Complaints with Broker Brian Bates in Firm LPL Financial LLC

September 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on February 13, 2023.

Claimants allege that their representative recommended unsuitable structured notes for their account. Activity period: November 2021 to September 2023.

There are Recent Customer Complaints with Broker Ervie Houston in Firm LPL Financial LLC

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ervie Houston (Houston), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Houston 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 $105,000.00 on February 23, 2023.

Client alleges the FP recommended an unsuitable investment strategy. This strategy included high commission, speculative, and illiquid alternative investments.

Broker Shomir Mukherjee in LPL Financial LLC Firm Has Customer Complaint

September 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shomir Mukherjee (Mukherjee), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mukherjee 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 $99,999.00 on March 06, 2023.

Unsuitability

There are Recent Customer Complaints with Broker Kerri Patrick in Firm LPL Financial LLC

September 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kerri Patrick (Patrick), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patrick 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 March 03, 2023.

Client alleges unsuitable and misleading recommendations related to alternative investments.

Broker Gregory Barson in LPL Financial LLC Firm Has Customer Complaint

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Barson (Barson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barson 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 $99,000.00 on March 17, 2023.

The customer alleges breach of fiduciary duty, lack of suitability, misrepresentations and failure to supervise in regards to investments made on behalf of the customer.

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

September 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 17, 2023.

Claimants allege representative made unsuitable investment recommendations during the period of January 2018 to June 2021

Broker Peter Evans in LPL Financial LLC Firm Has Customer Complaint

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Evans (Evans), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Evans 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 $1,626,972.00 on March 16, 2023.

Customer alleges that advisor breached his fiduciary duties by approving cash withdrawals, which indirectly benefitted the advisor. Time period June 2021 to August 2022.

Broker Ryan Hall in LPL Financial LLC Firm Has Customer Complaint

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Hall (Hall), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hall 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 $800,000.00 on April 10, 2023.

From late 2017 through 2018, the customer alleges that the Registered Representative made unsuitable recommendations of risky, illiquid investments.

There are Recent Customer Complaints with Broker Kenneth Baize in Firm LPL Financial LLC

September 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Baize (Baize), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baize 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 $500,000.00 on April 13, 2023.

On July 17, 2018 client purchased a $500,000 7 year bond with GWG Holdings. GWG Holdings defaulted on interest payments in February 2022 and filed for Chapter 11 bankruptcy reorganization in April of 2022. GWG has a court approved Joint Chapter 11 Plan with assets in a wind down trust.