LPL Financial LLC

There are Recent Customer Complaints with Broker Gregory Berg in Firm LPL Financial LLC

April 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Berg (Berg), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Berg 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 $143,000.00 on February 17, 2026.

Client alleges omission of material facts concerning a variable annuity purchased in February 2007.

There are Recent Customer Complaints with Broker Toni Iannarelli in Firm LPL Financial LLC

April 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Toni Iannarelli (Iannarelli), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Iannarelli 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 $101,000.00 on February 13, 2026.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an unsuitable securities investment for the customer’s investment objectives between February and March of 2021.

There are Recent Customer Complaints with Broker Daniel Baumgold in Firm LPL Financial LLC

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Baumgold (Baumgold), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baumgold 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 $591,000.00 on February 23, 2026.

Client alleges advisor failed to disclose asset liquidation would result in a taxable event.

Broker Melissa Dixon in LPL Financial LLC Firm Has Customer Complaint

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melissa Dixon (Dixon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dixon 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 $591,000.00 on February 23, 2026.

Client alleges advisor failed to disclose asset liquidation would result in a taxable event.

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

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Latta (Latta), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Latta 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 $443,582.65 on February 19, 2026.

Claimant alleges improper distribution of half of IRA assets to beneficiary upon death of client in September of 2025. Assets were distributed to two named beneficiaries by the custodian in September of 2025. Claimant alleges client intended to update beneficiaries to a single trust beneficiary for claimant’s benefit prior to death and submitted estate and trust documents evidencing that intent in 2022 and 2023, as well as made inquiries in 2025. Mr. Latta was the client’s financial advisor during the period in question. Claimant was client’s wife and was not a client of Mr. Latta’s.

Broker Michael Graham in LPL Financial LLC Firm Has Customer Complaint

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Graham (Graham), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Graham 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 $145,000.00 on February 18, 2026.

Client alleges the advisor misrepresented guaranteed principal and returns on a secured loan related to a real estate deal in February of 2023.

There are Recent Customer Complaints with Broker William Tunink in Firm LPL Financial LLC

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Tunink (Tunink), previously associated with LPL Financial LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Tunink 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 $41,000.00 on February 24, 2026.

Advisor borrowed funds from customer for investment opportunity away from the Firm

There are Recent Customer Complaints with Broker Robert Thorne in Firm LPL Financial LLC

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Thorne (Thorne), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thorne 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 $6,000.00 on February 24, 2026.

The client alleges the advisor failed to follow instructions in investing funds and caused delays in transferring the clients funds out of LPL. In addition, the client incorrectly alleges that the advisor failed to return advisory fees as as agreed.9/1/24-2/16/26

Broker Cesar Macedo in LPL Financial LLC Firm Has Customer Complaint

March 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 09, 2020.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI). Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts.

There are Recent Customer Complaints with Broker Preston Bellaire in Firm LPL Financial LLC

March 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Preston Bellaire (Bellaire), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bellaire 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 $40,000.00 on September 10, 2020.

The customer alleged that the representative misrepresented the risk of a speculative investment in order to secure a high commission sale in and around February of 2015.