LPL Financial LLC

Broker Jonathan Vogel in LPL Financial LLC Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Vogel (Vogel), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vogel 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 $23,400.00 on September 10, 2021.

Beginning in or around 2020, the complainant alleges that the rep recommended that she 1035 exchange the cash value of her universal life insurance policy into a new variable life insurance policy and said there would be no penalties for doing so.

Broker Rashard Cook in LPL Financial LLC Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rashard Cook (Cook), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cook 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 September 07, 2021.

Claimant alleges REIT investments purchased were misrepresented.

There are Recent Customer Complaints with Broker Ricky Ferrara in Firm LPL Financial LLC

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricky Ferrara (Ferrara), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ferrara 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 September 02, 2021.

Claimant alleges that certain investments purchased for his portfolio are unsuitable. Activity period 7/2014 – 9/2/2021.

Broker Scott Turcott in LPL Financial LLC Firm Has Customer Complaint

January 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Turcott (Turcott), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Turcott 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 September 23, 2021.

CLIENTS ALLEGE THAT UNSUITABLE INVESTMENTS FOR THEIR AGE WERE MADE AND THAT THEIR SUGGESTIONS WERE NOT FOLLOWED. TIME PERIOD IS 12/2019 THROUGH 12/2020

Broker David Kellin in LPL Financial LLC Firm Has Customer Complaint

January 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 23, 2021.

CLIENT ALLEGES RR DOLLAR COST AVERAGED ASSETS FROM MONEY MARKET TO MUTUAL FUNDS STARTING IN 04/2020 INSTEAD OF INVESTING THE FULL AMOUNT RIGHT AWAY WHICH RESULTED IN LOST MARKET OPPORTUNITY.

Broker Lee Nordstrom in LPL Financial LLC Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Lee Nordstrom (Nordstrom), previously associated with LPL Financial LLC, has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Nordstrom concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a final customer complaint on October 01, 2021.

Without admitting or denying the findings, Nordstrom consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA during the course of an investigation into whether he engaged in potential unsuitable and excessive trading in several customer accounts.

There are Recent Customer Complaints with Broker Mark Young in Firm LPL Financial LLC

January 22, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Mark Young (Young) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Young was employed by LPL Financial LLC at the time of the activity. If you have been a victim of Young’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $4,179,859.03 on September 29, 2021.

Misrepresentation and unsuitability alleged with regard to a private investment fund…dates 2015 to 2017

There are Recent Customer Complaints with Broker Michael Barranco in Firm LPL Financial LLC

January 21, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Michael Barranco (Barranco) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Barranco was employed by LPL Financial LLC at the time of the activity. If you have been a victim of Barranco’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $3,215,649.78 on October 06, 2021.

Claimants allege selling away, unsuitability, breach of fiduciary duties, fraud and/or negligence in connection with their investment in real estate. Activity period April 2013 to June 2017.

Broker Robert Tatum in LPL Financial LLC Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

Currently financial advisor Robert Tatum (Tatum), 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 settled customer complaint with a damage request of $100,001.00 on October 11, 2021.

Claimants allege representative made an unsuitable investment in a non-traded REIT. Time period is 01/2015 through 09/2021.

Broker Frank Van Houten in LPL Financial LLC Firm Has Customer Complaint

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Van Houten (Van Houten), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Van Houten 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 October 22, 2021.

Claimant alleges FA recommended unsuitable investment in an offshore product whose issuer is no longer solvent and is under liquidation order. Allegation Activity Dates: 12/29/2014 – 6/3/2020.