LPL Financial LLC

There are Recent Customer Complaints with Broker Tony Keena in Firm LPL Financial LLC

November 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 29, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

Broker Matthew Clason in LPL Financial LLC Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 09, 2022.

Claimant alleges the RR recommended an unsuitable Real Estate Investment Trust (REIT) investment.

Broker Richard Maas in LPL Financial LLC Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 13, 2022.

Statement of claim alleges an investment recommendation was made for the purpose of generating high commissions and fees that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

There are Recent Customer Complaints with Broker Bryan Kupchik in Firm LPL Financial LLC

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryan Kupchik (Kupchik), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kupchik 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 $97,953.00 on May 13, 2022.

Claimants allege that certain alternative investments purchased through another broker were unsuitable because their value allegedly declined. Activity Period: September of 2016 to May of 2022.

There are Recent Customer Complaints with Broker James Hundley in Firm LPL Financial LLC

November 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hundley (Hundley), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hundley 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 May 16, 2022.

[REDACTED] alleges that Atlas Growth Partner, LP investment was an unsuitable investment for him.\<char_lb_r>\, \<char_lb_r>\, On June 18, 2015, [REDACTED] signed an HD Vest Disclosure agreement for the investment in Atlas Growth Partners, LP. [REDACTED] total liquid Net Worth was $1,093,151. [REDACTED] was looking for an investment to fund future vacations and to satisfy required minimum distributions for his individual retirement account. The [REDACTED] had no mortgage on their home and did not need the dividends or the investment to support their life style. [REDACTED] signed the agreement acknowledging that he was an accredited investor. He received first year dividends of $7,000.00 and after the first year Atlas ceased paying dividends, but continued to report the investment value as $100,000 up until 2021 with Mainstar Trust located in Iowa.

Broker Brian Clark in LPL Financial LLC Firm Has Customer Complaint

November 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $815,157.00 on May 25, 2022.

Alleged excessive trading and inappropriate investments between 2008 and 2021.

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

November 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Leon (Leon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Leon 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 $72,587.86 on June 03, 2025.

The client opened an annuity in March 2021 with a lifetime income rider. The amount of annual income was anticipated to be 4.65% for age 65 and older, however, the payout is actually 3.40% as it is based on the spouse's age. This amounts to $10,302 less in guaranteed annual income. 10/2/2025 Update – Customer surrendered contract and CBSI agreed to make him whole up to his original investment amount. The cost of settlement included $29,897.30 in surrender charges plus $42,690.56 in market value adjustment for a final total of $72,587.86.

There are Recent Customer Complaints with Broker Roger Barnett in Firm LPL Financial LLC

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Barnett (Barnett), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barnett 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 $125,000.00 on August 12, 2025.

Customer alleges that investments made in 2016 were unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Stephen Freeman in Firm LPL Financial LLC

November 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Freeman (Freeman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Freeman 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 $7,252.71 on September 26, 2025.

Client alleged advisor placed unauthorized trades in their account. Allegation Activity Dates: 6/13/2023 – 9/26/2025.

Broker Tyler Schultz in LPL Financial LLC Firm Has Customer Complaint

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Schultz (Schultz), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schultz 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 $46,862.57 on October 07, 2025.

Claimant alleges representative recommended unsuitable investments in her 401(k) plan account during the time period 2021-2022.