LPL Financial LLC

There are Recent Customer Complaints with Broker Jeffrey Mathis in Firm LPL Financial LLC

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Mathis (Mathis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mathis 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 $150,000.00 on March 30, 2020.

Claimant alleges representative recommended claimant invest in an unsuitable, non-traded, registered direct participation program, United Development Funding III, and Broker breached its duty to supervise its agent and claimant’s account. The transaction occurred in 2007.

Broker Ronald Nagy in LPL Financial LLC Firm Has Customer Complaint

July 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 27, 2020.

Client complained that the financial advisor did not advise him that some of his investments had to be sold to facilitate the transfer his account, or that the sales would result in tax consequences. (11/21/2019-3/17/2020)

Broker Joseph Malboeuf in LPL Financial LLC Firm Has Customer Complaint

July 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2020.

Customer alleges failure to follow instructions with respect to allocation of account. Activity dates 10/1/19 through 4/1/20

Broker Dawn West in LPL Financial LLC Firm Has Customer Complaint

July 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 01, 2020.

Claimant alleges that in September 2018 advisor recommended an unsuitable investment in a structured note which the advisor then unilaterally sold in March 2020.

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

July 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Franklin (Franklin), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Franklin 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 $25,000.00 on March 31, 2020.

Claimant, through his power of attorney, alleges that in 2014 advisor recommended claimant to invest in a Real Estate Investment Trust (‘REIT’) that was unsuitable for the claimant’s risk tolerance and also failed to advise the claimant about the REIT’s risks and commissions.

There are Recent Customer Complaints with Broker Karen Boykin in Firm LPL Financial LLC

July 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $500,000.00 on April 02, 2020.

Karen Boykin was a subject of the customers’ complaint against her member firms that asserted the following causes of action: breach of fiduciary duty, violation of Missouri’s Securities Act \\u00a7 409-5.501 et al, common law fraud, breach of contract, negligence/negligent misrepresentation/omission, unjust enrichment, and negligent supervision.

Broker Burton Apfelbaum in LPL Financial LLC Firm Has Customer Complaint

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Burton Apfelbaum (Apfelbaum), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Apfelbaum 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 $35,000.00 on April 03, 2020.

Customer alleges a failure to follow instructions to move accounts to cash. Activity period: 2/27/20 to 4/3/20.

Broker Christopher Dursi in LPL Financial LLC Firm Has Customer Complaint

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Dursi (Dursi), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dursi 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 April 07, 2020.

ON OCTOBER 11, 2019, CHRIS DURSI MET WITH THE CLIENT TO PURCHASE AN INDEX ANNUITY THROUGH PEOPLE’S SECURITIES, INC. (‘PSI’). IN CONNECTION WITH THE PURCHASE OF THE ANNUITY, THE CLIENT SOLD SHARES OF STOCK HELD AT ANOTHER BROKER-DEALER UNAFFILIATED WITH PSI. THE CLIENT ALLEGED THAT MR. DURSI DID NOT INFORM AND ADVISE HER OF CERTAIN TAX LIABILITIES INCURRED FROM SELLING THE STOCK.

There are Recent Customer Complaints with Broker Samuel Izaguirre in Firm LPL Financial LLC

July 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Izaguirre (Izaguirre), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Izaguirre 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 $600,000.00 on July 07, 2020.

Claimant alleges losses in connection with her investments in alternative investments and an annuity. Claimant alleges she was misled about the details of the investments and therefore, incurred damages as a result of her purchases. Activity period: 5/8/14 to present.

There are Recent Customer Complaints with Broker Khary Miller in Firm LPL Financial LLC

July 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Khary Miller (Miller), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miller 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 $21,420.00 on July 08, 2020.

Customer purhased reit in 2014 that has gone down in value and alleges representative told her at time of purchase that she would receive the investment principal plus all dividends at end of five years.