Articles Tagged with LPL Financial LLC

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Evan Lunsford (Lunsford), currently 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), Lunsford’s most recent customer complaint alleges that Lunsford recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint on August 18, 2023.

Customer alleges that during the time period 2018-2020, representative made investment recommendations in structured notes tied to the energy market that were unsuitable for claimant’s investment objectives.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kelley (Kelley), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kelley 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 $2,000,000.00 on August 18, 2023.

Claimant alleges representative sold unsuitable products to Claimant and misrepresented the nature of the products and the fees during the time period 2003-2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerome Aron (Aron), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Aron 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 August 28, 2023.

The representative misrepresented the features of the product sold to the customer in 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Ignatowski (Ignatowski), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ignatowski 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 $75,000.00 on September 11, 2023.

Plaintiff alleges unsuitable recommendation and negligent misrepresentation in the sale of variable annuities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Sabo (Sabo), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sabo 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 $70,000.00 on September 22, 2023.

Claimant alleges LPL representatives made an unsuitable recommendation in 2013 to purchase an alternative investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gina Francisco (Francisco), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Francisco 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 $75,000.00 on September 22, 2023.

Customer alleges advisor made an unsuitable recommendation of an alternative investment in February 2013.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Kitchie (Kitchie), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kitchie 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 $50,001.00 on September 27, 2023.

Customer alleges representative made unsuitable recommendations to purchase alternative investments during the time period 2010-2014.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Coleman (Coleman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Coleman 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 $70,000.00 on September 22, 2023.

Claimant alleges LPL representatives made an unsuitable recommendation in 2013 to purchase an alternative investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Casey Walker (Walker), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Walker 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 $375,000.00 on October 10, 2023.

Claimants allege they were recommended unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryan Foster (Foster), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Foster 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 October 03, 2023.

Customer alleges representative made unsuitable recommendations during the period August 2016 to October 2023.

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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
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