LPL Financial LLC

There are Recent Customer Complaints with Broker Curtis Howard in Firm LPL Financial LLC

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curtis Howard (Howard), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Howard 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 $5,015.00 on June 04, 2020.

Customer alleges failure to follow instructions. Activity period: 2/12/20 to 6/4/20.

There are Recent Customer Complaints with Broker Katherine Petrelli in Firm LPL Financial LLC

August 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 11, 2020.

Customer alleged that he instructed on June 3, 2020 that his account be sold if its value dropped to $487,500, and that these instructions were not followed. Customer sought compensation of between $7,000 and $16,980.93 in losses after account declined further in value. Activity period: 6/3/20 to 6/11/20.

Broker Linda Kjerulf in LPL Financial LLC Firm Has Customer Complaint

August 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 13, 2020.

Client alleges rr sold off a portion of his portfolio on March 18, 2020 and March 19, 2020 without his knowledge or consent

Broker Ian Baker in LPL Financial LLC Firm Has Customer Complaint

August 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Baker (Baker), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Baker 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 $10,966.86 on June 16, 2020.

Claimant alleges that her Financial Representative made two unsuitable investments in a managed account, which were ultimately sold at a loss to claimant. Activity period: 6/12/2018-5/29/2019

There are Recent Customer Complaints with Broker Frederick Guist in Firm LPL Financial LLC

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Guist (Guist), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Guist 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 July 01, 2020.

Claimant alleges that he suffered losses in connection with three alternative investments that were purchased for claimant at another broker-dealer and not lpl. Claimant contends that the investments declined in value and seeks damages under breach of fiduciary duty and negligence theories of liability. Activity period: 4/2007 – 4/2020.

There are Recent Customer Complaints with Broker Aaron Gore in Firm LPL Financial LLC

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Gore (Gore), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gore 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 $20,000.00 on July 02, 2020.

Customer alleges that a business development company investment sold to him in 2014 was an unsuitable, high risk, speculative, high commission investment, and he suffered damages of at least $20,000.

There are Recent Customer Complaints with Broker Jason Murphy in Firm LPL Financial LLC

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Murphy (Murphy), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murphy 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 March 09, 2020.

Plaintiffs allege that advisor recommended an unsuitable variable life insurance policy and misrepresented the terms and benefits of the policy. Activity period: 6/29/07 to 6/3/19.

Broker Michael Rainbolt in LPL Financial LLC Firm Has Customer Complaint

July 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 13, 2020.

The client alleges that the financial advisor took out a margin loan on her account without her authorization.

There are Recent Customer Complaints with Broker Wilber Aguirre in Firm LPL Financial LLC

July 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 16, 2020.

The client complained that financial advisor assured her that she would not lose principal on mutual fund investment. (1/28/2020-3/9/2020)

There are Recent Customer Complaints with Broker Jeanann Kramer in Firm LPL Financial LLC

July 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeanann Kramer (Kramer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kramer 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 $11,475.00 on March 18, 2020.

In the financial industry advisors must meet the requirements of the SEC’s Regulation Best Interest (Reg BI) in providing investment advice and services. Reg BI established a ‘best interest’ standard for brokerage firms and registered representatives. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts.