Articles Tagged with LPL Financial LLC

| by

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

FINRA BrokerCheck shows a pending customer complaint on January 24, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Fusco (Fusco), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fusco 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 $40,000.00 on February 02, 2024.

Executrix of estate alleges, inter alia, failure to supervise with respect to the margin balance maintained in the deceased client’s account after he passed away and the estate was being settled 2016-2023 .

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Damon Mapes (Mapes), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mapes 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 05, 2024.

Customer alleges representative made unsuitable investment recommendations.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on February 08, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on February 08, 2024.

Customer alleges that investments made in 2013 were unsuitable for the customer’s investment objectives and risk tolerance.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sotiraq Qirjollari (Qirjollari), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Qirjollari 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 $72,577.00 on February 12, 2024.

Customer alleges representative recommended an unsuitable portfolio of investments during the time period March 2017 to March 2020.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

Customers allege that investments made in 2013 were unsuitable for the customers’ investment objectives and risk tolerances.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ross Fabregas (Fabregas), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fabregas 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 $15,000.00 on February 14, 2024.

Customer alleged the advisor solicited a $15,000 undisclosed personal loan which he failed to pay back.

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2025, Gana Weinstein LLP
JUSTIA Law Firm Blog Design