Articles Tagged with LPL Financial LLC

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

FINRA BrokerCheck shows a settled customer complaint on November 10, 2023.

Claimant alleges that during the time period September 2019 to February 2023, representative made unsuitable investment recommendations

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Loyd (Loyd), currently associated with LPL Financial LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Loyd 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 $17,500.00 on November 16, 2023.

Client alleges unsuitable investment.

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Currently financial advisor Kathryn Hackney (Hackney), currently employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a final customer complaint with a damage request of $150,000.00 on November 14, 2023.

Claimant alleges representative made an unsuitable recommendation to purchase REITs in 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Pitch (Pitch), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pitch 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 $1,500,000.00 on November 15, 2023.

Alleged erroneous statement by financial professional that life insurance policy purchased in 2002 was paid in full as of October 2011 and no further premiums were due, when premium payment was required in November 2022 that could not be paid and claimant was required to sell the policy resulting in an alleged substantial loss.

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Grano (Grano), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grano 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 $370,000.00 on November 17, 2023.

Claimants allege suitability, misrepresentation, and negligence

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Wilburn (Wilburn), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wilburn 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 November 20, 2023.

Customer alleges that investments made in ETFs and variable annuities during the time period January 2020 to March 2022 were inappropriate for the customer’s investment objectives and risk tolerance, and that representative made alleged misrepresentations concerning the investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven White (White), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that White 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 $26,551.99 on November 29, 2023.

The customer alleges that it was not disclosed to him that his alternative investment was illiquid at the time of purchase in  September 2014.

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

FINRA BrokerCheck shows a settled customer complaint on November 29, 2023.

In November 2023, the customer asked for accounts to be transferred in kind to foreign broker dealer. Assets were liquidated without customer’s authorization.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Freddie Barbour (Barbour), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barbour 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 04, 2023.

Customer alleged theft of funds taking place in 2017.

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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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