LPL Financial LLC

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

June 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Wetsel (Wetsel), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wetsel 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 $60,000.00 on June 22, 2023.

Customer alleged unsuitable recommendations (4/16/14-3/29/23)

Broker Brenton Ditto in LPL Financial LLC Firm Has Customer Complaint

June 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 20, 2023.

Complaint alleges unsuitable recommendation

Broker Stephen Sylvester in LPL Financial LLC Firm Has Customer Complaint

June 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Sylvester (Sylvester), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sylvester 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 $36,000.00 on January 12, 2021.

Customer brought forth a mediation claim alleging the RR did not take into consideration her liquidity concerns in general or properly illustrate a balanced view of asset classes through his use of a financial planning software program. The customer also alleges failure to complete a formal risk assessment and disregard for her social security concerns. The alleged activity occurred between the dates of January 2019 – November 2021.

There are Recent Customer Complaints with Broker Johnny Ceballos in Firm LPL Financial LLC

June 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Johnny Ceballos (Ceballos), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ceballos 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 $284,942.00 on September 09, 2020.

CUSTOMER ALLEGES UNSUITABILITY IN DISCRETIONARY ADVISORY ACCOUNT. TIME PERIOD: 7/2017-9/2020

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

June 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Booth (Booth), previously associated with LPL Financial LLC, has at least 34 disclosable events. These events include 31 customer complaints, 3 regulatory events, alleging that Booth recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 20, 2020.

Clients allege misappropriated funds.

Broker John Soukup in LPL Financial LLC Firm Has Customer Complaint

June 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Soukup (Soukup), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Soukup 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 $5,000.00 on December 14, 2023.

07/20/2022 – 12/07/2023 The client alleges that his advisor purchased AAPL stock without permission. The client alleged that LPL’s back office failed to provide a revised 1099R per the client’s request for a corrected return. Due to the delay, the client incurred $6,000 in attorney’s fees. The client demanded that LPL reimburse his attorney’s fee, or he would report his advisor for unauthorized trading of an equity position.

Broker Brandon Leblanc in LPL Financial LLC Firm Has Customer Complaint

June 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Leblanc (Leblanc), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Leblanc 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 December 18, 2023.

The customers alleged that their advisor placed them in unsuitable investments and failed to inform or obtain permission to change the client’s Model Wealth Portfolio (‘MWP’) investment objectives. (11/30/21-11/03/22)

Broker Randy Redd in LPL Financial LLC Firm Has Customer Complaint

June 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Redd (Redd), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Redd 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 $2,872,200.00 on December 19, 2023.

Customer alleged embezzlement of funds through private real estate transaction in 2023.

Broker Alan Deuel in LPL Financial LLC Firm Has Customer Complaint

June 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Deuel (Deuel), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Deuel 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 $300,000.00 on December 19, 2023.

The Statement of Claim was filed on behalf of nine claimants against Grove Point Investments, LLC involving the same investment – NorthStar Healthcare Income REIT. Claimants allege unsuitability, overconcentration, breach of fiduciary duty and negligence. Activity occurred March 24, 2014 to February 12, 2016.

Broker Anthony Jovanovich in LPL Financial LLC Firm Has Customer Complaint

June 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Jovanovich (Jovanovich), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jovanovich 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 $9,107.16 on December 18, 2023.

[REDACTED], on behalf of her mother, alleges Mr. Jovanovich and his colleague misrepresented the REIT investment recommended stating that clients could earn 7% monthly dividend with no downside. It was further alleged that the investments in Guggenheim UITs were not suitable with the clients conservative objective, that these investments were very risky, not diversified, and resulted in large losses.