LPL Financial LLC

Broker Carlos Carrillo in LPL Financial LLC Firm Has Customer Complaint

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Carrillo (Carrillo), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carrillo 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 $17,486.30 on October 18, 2021.

Customer complaint alleges that advisor recommended the Allianz variable annuity even though his desire was to protect the initial investment/principal with only modest growth to compensate for inflation. Client stated he was not aware from the advisor of the buffer/floor feature of product and also he had a 20-day grace period to review the documentation after purchase.

There are Recent Customer Complaints with Broker David Meacham in Firm LPL Financial LLC

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Meacham (Meacham), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meacham 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 $137,000.00 on November 04, 2021.

According to a Form U5 Amendment filed by Centaurus, during the period January 2015 through September 2015, the customers allege that the Registered Representative recommended high-risk, high commission and illiquid investments.

Broker William Poulter in LPL Financial LLC Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

Currently financial advisor William Poulter (Poulter), 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 settled customer complaint on November 05, 2021.

The client alleges misrepresentation and suitability issues concerning the advisor’s advice to purchase illiquid REITs and a BDC. Client also alleges improper fees and commissions charged on his accounts. Activity period 2008-2022.

Broker Matthew Lawson in LPL Financial LLC Firm Has Customer Complaint

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Lawson (Lawson), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Lawson 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 $3,000,000.00 on November 16, 2021.

Claimant alleges that FAs misrepresented that her grandfather, a client of the same FAs, had setup a trust account for her with the FAs as trustees and that she believes account had been setup in her name and that FAs misrepresented that it was a trust to hide their alleged conversion of funds from the account

There are Recent Customer Complaints with Broker Douglas Cash in Firm LPL Financial LLC

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Cash (Cash), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cash 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 $50,000.00 on November 22, 2021.

Customer alleges that between November 2014 and November 2021, representative recommended an investment in the Northstar Healthcare Income Fund that were unsuitable for the customer’s investment profile and risk tolerance.

Broker Eric Jenson in LPL Financial LLC Firm Has Customer Complaint

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Jenson (Jenson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jenson 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 $9,601.44 on November 30, 2021.

Client alleges that rep misrepresented the variable annuity product at the time of sale.

There are Recent Customer Complaints with Broker Howell Ferguson in Firm LPL Financial LLC

January 15, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on February 08, 2022.

Without admitting or denying the findings, Ferguson consented to the sanctions and to the entry of findings that he forged documents by signing a customer\\u2019s name without the customer\\u2019s prior permission. The findings stated that the forms were to request required minimum distributions from annuities and Ferguson caused those forms to be submitted to the annuity companies. The findings also stated that after FINRA initiated an investigation of Ferguson\\u2019s conduct, he falsely denied signing the customer\\u2019s name in response to FINRA\\u2019s request for information. Subsequently, after FINRA obtained Ferguson\\u2019s emails about the forms, and requested information from him about those emails, Ferguson recanted his false statements and admitted that he had signed the customer\\u2019s name without permission.

Broker Michael Beebe in LPL Financial LLC Firm Has Customer Complaint

January 14, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on April 13, 2022.

Respondent Beebe failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker Scott Williams in Firm LPL Financial LLC

January 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on May 27, 2022.

Respondent Williams failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Joseph Kirkland in Firm LPL Financial LLC

January 11, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on April 04, 2023.

The Securities and Exchange Commission (‘Commission’) deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted pursuant to Section 15(b) of the Securities Exchange Act of 1934 (‘Exchange Act’) and Section 203(f) of the Investment Advisers Act of 1940 (‘Advisers Act’) against Joseph Kirkland (‘Respondent’). The Commission finds that on October 28, 2022, Respondent pleaded guilty to one count of conspiracy to commit wire fraud in violation of Title 18, United States Code, Sections 1349 and 1343 before the United States District Court for the District of Puerto Rico, in United States v. Joseph Kirkland, et al., Crim. No. 3:21-cr-00082-ADC-MDM (D.P.R.). Respondent is awaiting sentencing. In his guilty plea, Respondent stipulated that from on or about March 2016 to on or about June 2018, he conspired with others to defraud the Municipality of Mayag\\u00fcez, Puerto Rico (the ‘City’) and its municipal enterprise, Mayag\\u00fcez Economic Development, Inc. (‘MEDI’), and to obtain money and property by means of materially false and misleading statements involving the City’s funds. Respondent was the registered representative responsible for MEDI’s brokerage account at UBIS, which held $9 million of the City’s funds earmarked for improving a local trauma center. Respondent made and caused to be made materially false statements to the City, through electronic messages, asserting that the City’s $9 million in principal was invested at a high rate of return. In reality, Respondent caused financial transactions that depleted the City’s funds and converted a portion of the City’s funds to Respondent’s own personal use.