Articles Tagged with LPL Financial LLC

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Buchholz (Buchholz), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Buchholz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

Customer alleges unauthorized trading

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin May (May), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that May 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 $395,000.00 on November 09, 2023.

Claimant alleges that during the approximate time period 2019-2022, representative recommended investments that were unsuitable for the customer’s investment profile and risk tolerance.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on November 10, 2023.

Claimant alleges that during the time period September 2019 to February 2023, representative made unsuitable investment recommendations.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andy Rampersaud (Rampersaud), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rampersaud 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 $499,000.00 on November 10, 2023.

Claimant alleges the Respondent used a speculative strategy in her accounts that were inconsistent with her instructions, needs and financial condition.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on November 10, 2023.

Claimant alleges that during the time period September 2019 to February 2023, representative made unsuitable investment recommendations

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Loyd (Loyd), currently associated with LPL Financial LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Loyd 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 $17,500.00 on November 16, 2023.

Client alleges unsuitable investment.

Continue Reading

| by

Currently financial advisor Kathryn Hackney (Hackney), currently employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a final customer complaint with a damage request of $150,000.00 on November 14, 2023.

Claimant alleges representative made an unsuitable recommendation to purchase REITs in 2016.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Pitch (Pitch), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pitch 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 $1,500,000.00 on November 15, 2023.

Alleged erroneous statement by financial professional that life insurance policy purchased in 2002 was paid in full as of October 2011 and no further premiums were due, when premium payment was required in November 2022 that could not be paid and claimant was required to sell the policy resulting in an alleged substantial loss.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Grano (Grano), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grano 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 $370,000.00 on November 17, 2023.

Claimants allege suitability, misrepresentation, and negligence

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

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

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 © 2025, Gana Weinstein LLP
JUSTIA Law Firm Blog Design