Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Lasher (Lasher), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lasher 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 $45,000.00 on January 31, 2022.

Customer alleges that an investment made in June 2014 was inappropriate for the customer’s investment objectives and risk tolerance, and that representative made alleged misrepresentations concerning the investment.

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $160,000.00 on February 01, 2022.

Customer alleges that in 2016, representative made a recommendation that he invest in and hold a closed-end fund and a business development company that was unsuitable for the customer’s risk tolerance and investment objectives.

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

FINRA BrokerCheck shows a settled customer complaint on February 08, 2022.

Customer alleged unsuitable recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Trahms (Trahms), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Trahms 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 $25,327.00 on February 01, 2022.

On 2/1/2022 client asked that Gazprom stock be sold. The sale was not completed. On 2/22/2022 the client learned that the stock had not been sold and the price of Gazprom dropped. The representative wanted to see if the price of Gazprom came back. On 2/28/2022 the price of Gazprom dropped again. The client was very upset. Shortly after that date, Gazprom stock was removed from client’s account by federal government due to Russian invasion of Ukraine.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lademan (Lademan), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lademan 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 February 14, 2022.

Breach of Fiduciary Duty, unsuitible investments, negligent supervion, breach of contract

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan White (White), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that White 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 $178,909.16 on February 22, 2022.

Claimant alleges that her advisor sold her an unsuitable portfolio of mutual funds in her advisory account. Time period 3/3/2021 to 3/14/2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Crossan (Crossan), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crossan 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 $50,000.00 on February 17, 2022.

Claimant alleges that she was sold a series of annuities, where the income was used to fund a whole life insurance policy and that this investment strategy was clearly entered for purposes of commissions. Claimant also alleges that Wells Fargo’s actions constitute a breach of fiduciary duty, obtaining excessive commissions in an unsuitable whole life insurance recommendation which constitutes gross negligence.

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

FINRA BrokerCheck shows a settled customer complaint on February 24, 2022.

Claimant alleges unsuitable investment recommendations which resulted in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce (brett) Emmeluth (Emmeluth), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Emmeluth 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 March 07, 2022.

The claimant seeks damages in this arbitration from First Financial Equity Corporation based on unsuitable investments advice given by Bruce Palmer Emmeluth.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Speight (Speight), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Speight 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 $30,300.00 on March 10, 2022.

Customer alleges that he was misled when he purchased a Variable Universal Life Insurance policy in April 2019

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