LPL Financial LLC

There are Recent Customer Complaints with Broker Duncan Maceachern in Firm LPL Financial LLC

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Duncan Maceachern (Maceachern), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Maceachern 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 $50,000.00 on February 13, 2024.

The customer alleges that in December of 2020, the Registered Representative recommended an unsuitable, high-risk, illiquid investment, and breached his fiduciary duty.

There are Recent Customer Complaints with Broker Joseph Behrend in Firm LPL Financial LLC

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Behrend (Behrend), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Behrend 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 investments made in 2013 were unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Mario Barone in Firm LPL Financial LLC

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mario Barone (Barone), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barone 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 investments made in 2013-2014 were unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Kultar Bindra in Firm LPL Financial LLC

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kultar Bindra (Bindra), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bindra 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 $31,860.00 on February 16, 2024.

Client alleges an unsuitable recommendation was made.

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

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Ross (Ross), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ross 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 $50,000.00 on February 16, 2024.

Claimant alleges the rr recommended an unsuitable oil & gas investment.

Broker Paul Volpe in LPL Financial LLC Firm Has Customer Complaint

June 2, 2025 | 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 settled customer complaint with a damage request of $5,000.00 on February 20, 2024.

Claimants allege Mr. Volpe recommended the sale of unsuitable investments.

There are Recent Customer Complaints with Broker Gregory Gann in Firm LPL Financial LLC

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Gann (Gann), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gann 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 February 15, 2024.

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

Broker Bruce Berry in LPL Financial LLC Firm Has Customer Complaint

June 1, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Bruce Berry (Berry), currently associated with LPL Financial LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Berry concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on February 22, 2024.

Statement of Claim alleges an investment recommendation was made for the purpose of generating high commissions and fees and that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

Broker Ronald Albers in Wells Fargo Clearing Services, LLC / LPL Financial LLC Firm Has Customer Complaint

May 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Albers (Albers), currently associated with Wells Fargo Clearing Services, LLC / LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Albers 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 $50,000.00 on March 11, 2024.

Claimant alleges his Financial Advisor (FA) and Wells Fargo (WF) engaged in an active trading strategy causing Claimant losses in his account while the markets earned generational returns. Claimant claims Breach of Fiduciary Duty, Negligence and Negligent Supervision. Claimant seeks $50,000.00 in compensatory damages.

Broker Stephen Krauss in LPL Financial LLC Firm Has Customer Complaint

May 29, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Stephen Krauss (Krauss), previously employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Krauss’s most recent customer complaint alleges that Krauss recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $16,502.00 on March 05, 2024.

03/28/2017 – 03/04/2024\, The client alleges that his advisor misrepresented the crediting\, on a JP Morgan S&P500 Dividend Aristocrats structured note.