Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Anderson (Anderson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 $25,000.00 on December 06, 2023.

It is alleged that a $25,000 REIT investment was not appropriate for the customers. The alleged activity occurred between November 1, 2016 and December 31, 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Fretz (Fretz), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fretz 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 $20,000.00 on February 27, 2024.

Customer alleges unsuitable recommendation

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ismael Reyes Retana (Reyes Retana), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reyes Retana 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 $106,000.00 on February 27, 2024.

Customer alleges failure to explain that fixed allocation in annuity was subject to credit risk of issuer.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonas Everett (Everett), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Everett 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 $25,000.00 on March 01, 2024.

The Statement of Claim alleges the financial professional recommended a speculative, illiquid, high commission product that was unsuitable for the clients. It is alleged this recommendation exposed clients to unnecessary risk.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker John Matson (Matson) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Matson was employed by LPL Financial LLC at the time of the activity.  If you have been a victim of Matson’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $948,212.71 on April 09, 2025.

Customer seeks to rescind a settlement agreement she entered in connection with her prior complaint concerning two promissory notes that a (previously) registered representative sold to her in February 2019, away from the firm. This complaint was disclosed on 2/21/2023 and settled on 1/10/2024 (Occurrence ID 2258299), however Claimant is attempting to seek further compensation from the allegations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Earls (Earls), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Earls 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 $10,000.00 on May 12, 2025.

July 2017

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Wetsel (Wetsel), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wetsel 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 $60,000.00 on June 22, 2023.

Customer alleged unsuitable recommendations (4/16/14-3/29/23)

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

FINRA BrokerCheck shows a settled customer complaint on June 20, 2023.

Complaint alleges unsuitable recommendation

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Sylvester (Sylvester), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sylvester 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 $36,000.00 on January 12, 2021.

Customer brought forth a mediation claim alleging the RR did not take into consideration her liquidity concerns in general or properly illustrate a balanced view of asset classes through his use of a financial planning software program. The customer also alleges failure to complete a formal risk assessment and disregard for her social security concerns. The alleged activity occurred between the dates of January 2019 – November 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Johnny Ceballos (Ceballos), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ceballos 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 $284,942.00 on September 09, 2020.

CUSTOMER ALLEGES UNSUITABILITY IN DISCRETIONARY ADVISORY ACCOUNT. TIME PERIOD:  7/2017-9/2020

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