LPL Financial LLC

Broker Simon Joseph in LPL Financial LLC Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 11, 2023.

Client alleges losses of over $250,000 in January of 2022 due to unauthorized trades, unsuitable recommendations, misrepresentation, failure to supervise by Truist, breach of fiduciary duty and violation of Virginia securities laws with respect to an account held by the claimants at representative’s previous firm.

There are Recent Customer Complaints with Broker Darryl Hall in Firm LPL Financial LLC

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darryl 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 $119,976.00 on May 03, 2023.

The clients alleged that recommendations in 2014 to purchase a VA and life insurance were not suitable based on low performance.

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

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Mcintyre (Mcintyre), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcintyre 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 $25,045.97 on April 24, 2023.

Claimant alleges that certain transactions were not executed timely, which resulted in losses in the account. Activity period: July to September 2022

Broker Randolph Peters in LPL Financial LLC Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randolph Peters (Peters), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peters 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 $100,000.00 on May 04, 2023.

Client alleges that annuity was misrepresented and unsuitable recommendation and sale of a variable annuity.

There are Recent Customer Complaints with Broker Janet Fieldman in Firm LPL Financial LLC

September 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 08, 2025.

Customer alleges that her financial advisor gave her improper advice in connection with available options arising from his brokerage account in November of 2021.

There are Recent Customer Complaints with Broker Ford Keeler in Firm LPL Financial LLC

September 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ford Keeler (Keeler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Keeler 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 $210,000.00 on July 24, 2025.

Customers allege that investments made in 2022 were unsuitable for the customer’s investment objectives and risk tolerance.

Broker David Taddeo in LPL Financial LLC Firm Has Customer Complaint

September 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Taddeo (Taddeo), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taddeo 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 $202,000.00 on July 29, 2025.

The clients allege misrepresentation and suitability issues concerning the advisor’s advice to purchase an illiquid variable annuity in 2010.

Broker Craig Johnson in LPL Financial LLC Firm Has Customer Complaint

September 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Johnson (Johnson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 May 23, 2023.

Breach of Fiduciary Duty

There are Recent Customer Complaints with Broker Matthew Engelau in Firm LPL Financial LLC

August 31, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 05, 2023.

Claimants allege that during the time period January 2021 to February 2023, representative employed a trading strategy which resulted in losses in their accounts.

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

August 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Burk (Burk), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burk 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 $14,000.00 on June 05, 2023.

The client is alleging poor performance for a REIT that he purchased in 2016. CFS denied all liability on the basis that the recommended investment was made through another broker-dealer. Regardless, CFS agreed to pay a settlement of $6,000 as an accommodation to the client. The Rep was not asked to contribute to the settlement.