Articles Tagged with LPL Financial LLC

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

FINRA BrokerCheck shows a settled customer complaint on September 26, 2025.

The customer alleged the financial advisor did not verbally confirm withdrawals with the customer.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Ramos (Ramos), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ramos 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 $500,000.00 on November 21, 2025.

Customer alleges poor performance and unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Munoz (Munoz), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Munoz 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 $500,000.00 on November 21, 2025.

Customer alleges poor performance and unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Graham (Graham), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Graham 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 $375,000.00 on November 19, 2025.

10/01/2022 – Present Advisor fraudulently offered a short term loan note with 150% return

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Mccallum (Mccallum), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccallum 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 $378,000.00 on November 25, 2025.

Customers allege recommended unsuitable investments in Medley Capital Corporation that between 2015 and 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Smith (Smith), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $5,000.00 on December 16, 2025.

Customer alleges that two interval funds purchased in 2022 were misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Naegle (Naegle), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Naegle 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 December 16, 2025.

Customer alleges that the representative took investments for his own use and converted them to property owned by him.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Fleming (Fleming), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fleming 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 $200,000.00 on December 15, 2025.

Claimants allege unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Tunink (Tunink), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tunink 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 January 08, 2026.

Advisor borrowed funds from customer for investment opportunity away from the Firm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Sileo (Sileo), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sileo 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 July 08, 2021.

Unsuitability

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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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