Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lynch (Lynch), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lynch 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 Roger Johnson (Johnson), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $400,000.00 on March 22, 2024.

Customers allege that between September 2021 and March 2023 advisor made unsuitable recommendations into equity listed securities and other causes of actions related to these trades.

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

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas English (English), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that English 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 $400,000.00 on March 22, 2024.

Customers allege that between September 2021 and March 2023 advisor made unsuitable recommendations into equity listed securities and other causes of actions related to these trades.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mikyung Oh (Oh), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Oh 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 2013-2014 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 William Czaplewski (Czaplewski), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Czaplewski 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 2015 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 Howard Kaplan (Kaplan), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kaplan 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 Glenn Frum (Frum), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frum 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 Patrick Louise (Louise), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Louise 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 March 25, 2024.

Claimant alleges that during the time period 2011-2023, representative recommended unsuitable investments in variable annuities.

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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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