LPL Financial LLC

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

June 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Graham (Graham), previously associated with LPL Financial LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Graham 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 $150,000.00 on February 23, 2026.

Client alleges the advisor misrepresented guaranteed principal and returns on a secured loan related to a real estate deal in February of 2023.

Broker Gregory Berg in LPL Financial LLC Firm Has Customer Complaint

June 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Berg (Berg), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Berg 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 $143,000.00 on February 23, 2026.

Client alleges omission of material facts concerning a variable annuity purchased in February 2007.

Broker Christ Mavrakos in LPL Financial LLC Firm Has Customer Complaint

June 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christ Mavrakos (Mavrakos), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mavrakos 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 $250,000.00 on February 26, 2026.

Claimants allege their advisor did not make them aware of short positions between 2022 and 2026, and it resulted in financial loss.

There are Recent Customer Complaints with Broker Andrew Andreotta in Firm LPL Financial LLC

June 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 26, 2026.

The customers submitted a notarized affidavit of forgery alleging that their signatures on a wire request form dated November 21, 2025 were forged and that they did not authorize the associated transfer of funds. The customers further allege that additional account documentation was reused or included in connection with other transactions without their knowledge and that related fund transfers were effected without their authorization.

Broker Roderick Uy in LPL Financial LLC Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Uy (Uy), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Uy 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 $750,000.00 on February 26, 2026.

Customers allege misrepresentations regarding unnecessary and improper trades from 2016-2025.

Broker Paul Volpe in LPL Financial LLC Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Volpe (Volpe), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Volpe 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 $5,000.00 on March 16, 2026.

Claimant alleges the FP recommended unsuitable alternative investments.

Broker Andrew Martz in LPL Financial LLC Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Martz (Martz), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martz 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 $80,000.00 on March 23, 2026.

Customer alleges violation of Reg BI

There are Recent Customer Complaints with Broker Lance Smith in Firm LPL Financial LLC

June 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lance Smith (Smith), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $23,074.32 on April 13, 2026.

Customer alleges violation of Reg BI

There are Recent Customer Complaints with Broker Tracy Helmer in Firm LPL Financial LLC

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tracy Helmer (Helmer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Helmer 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 $13,000.00 on April 16, 2026.

Customer alleges Reg BI violations

Broker Andrew Quinn in LPL Financial LLC Firm Has Customer Complaint

May 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Quinn (Quinn), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Quinn 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 August 27, 2020.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI). Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts.