Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Debra Shultz (Shultz), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shultz 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 April 04, 2025.

14 undisclosed OBA activity  10/01/2023 -03/11/2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stanley Patrick (Patrick), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patrick 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 $35,000.00 on April 05, 2025.

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 Stacy Bush (Bush), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bush 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 $35,000.00 on April 05, 2025.

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 Mark Towne (Towne), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Towne 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 $41,000.00 on April 09, 2025.

Reg BI – The client’s alleges the advisor did not act in the client’s best interest when recommending two positions in 2015 that did not perform well and should have kept the client apprised of the investments’ performance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jordan Rider (Rider), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rider 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 $120,000.00 on April 11, 2025.

Reg BI – alleges that FA mismanaged accounts and failed to disclose risks of of investments, suitability concerns

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Frongillo (Frongillo), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frongillo 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 $40,000.00 on April 15, 2025.

Claimant alleges the RR recommended an unsuitable Oil & Gas Investment

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Gahagan (Gahagan), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gahagan 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 $206,027.31 on April 21, 2025.

THIS MATTER IS BEING REPORTED CONSISTENT WITH FINRA RULES PERTAINING TO THE REPORTING OF CERTAIN WRITTEN CUSTOMER COMPLAINTS. THE COMPANY BY THIS FILING MAKES NO ALLEGATIONS REGARDING THE ACTIONS OF THE REPRESENTATIVE. Customer alleged policy was not suitable for someone his age.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricky Whitmire (Whitmire), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Whitmire 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 $22,000.00 on April 01, 2024.

The client stated that the agreed-upon allocations for a variable annuity opened in 2022 while the advisor was registered at CUNA Brokerage Services, Inc. were not in their best interest. Moreover, the client stated that the advisor, while registered at LPL, failed to assist in modifying the variable annuity’s subaccount allocation (2023), causing the client to miss the deadline for an allocation change and subsequent losses. The client asked for a return of their account losses and hypothetical gains if the account had been invested differently at account opening, totaling $22,000.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Nelson (Nelson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 $900,000.00 on April 08, 2024.

Customer’s estate alleged that representative should not have effected certain transfers and sales of assets authorized pursuant to a power of attorney granted by customer and subsequently pursuant to instructions from the trustee of customer’s trust. The activities took place between September 2022 and January 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Teddy Ezzell (Ezzell), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ezzell 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 $5,000.00 on April 08, 2024.

Breach of fiduciary duty; unsuitable recommendations; misrepresentation and failure to supervise by the firm.

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