Articles Tagged with LPL Financial LLC

| by

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

FINRA BrokerCheck shows a settled customer complaint on June 03, 2021.

Claimants allege that their registered representative recommended unsuitable investments.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Laurence Iannarelli (Iannarelli), previously 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 settled customer complaint with a damage request of $250,000.00 on June 11, 2021.

Claimant alleges the representative recommended alternative investments that were unsuitable.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on June 19, 2021.

Customer alleges that variable annuity investment was misrepresented as having no risk of loss, and sought reimbursement of loss of approximately $10,292 that was incurred when it was surrendered. Activity dates are 2/20/14 – 2/20/14

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on June 28, 2021.

Claimants allege their former advisor made unsuitable trades in their managed accounts including investments in low priced securities and speculative companies. The Claimants further allege their advisor exacerbated the risk in their accounts by trading options and utilizing margin. They request unspecified damages.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Tornincaso (Tornincaso), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tornincaso 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 June 28, 2021.

Claimant alleges unsuitable investment recommendations and inadequate supervision and due diligence from 01/2014 through 06/2021

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $22,000.00 on September 18, 2025.

Claimant alleges misrepresentation associated with the purchase of a structured note which resulted in losses.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on September 26, 2025.

The customer alleged the financial advisor did not verbally confirm withdrawals with the customer.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Ramos (Ramos), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ramos 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 $500,000.00 on November 21, 2025.

Customer alleges poor performance and unsuitable investment recommendations.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Munoz (Munoz), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Munoz 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 $500,000.00 on November 21, 2025.

Customer alleges poor performance and unsuitable investment recommendations.

Continue Reading

| by

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 one disclosable event. These events include one customer complaint, 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 $375,000.00 on November 19, 2025.

10/01/2022 – Present Advisor fraudulently offered a short term loan note with 150% return

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design