Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Kirkpatrick (Kirkpatrick), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kirkpatrick 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 $300,000.00 on March 15, 2024.

Customer alleges representative recommended alternative investments that were unsuitable for the customer’s investment profile and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

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

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

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

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

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

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karry Maciak (Maciak), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Maciak recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

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

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

The customer claims that alternative investments purchased in 2012 and 2014 were unsuitable, that the account value has declined over the past few years, and seeks a resolution.

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

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

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

FINRA BrokerCheck shows a settled customer complaint on March 19, 2024.

Estate co-executor alleges representative recommended unsuitable investments to his now-deceased father-in-law some time prior to 2014.

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

Customers allege they suffered unexpected tax liabilities as a result of investment recommendations to surrender their variable annuities. Time period November 2021 to April 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan 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 pending customer complaint on March 19, 2024.

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

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New York, NY 10017
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3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
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