LPL Financial LLC

Broker Felix Bartolomei in LPL Financial LLC Firm Has Customer Complaint

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Felix Bartolomei (Bartolomei), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bartolomei 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 $100,001.00 on December 29, 2020.

Client alleges unsuitability, overconcentration, failure to supervise, scienter, aiding and abetting, fraudulent concealment, violations of securities laws and rules, fraud, recklessness, negligence, breach of fiduciary duties, and violations of PR contract law (Puerto Rico bonds and closed-end funds). Includes request for punitive damages, rescission, interest, fees, costs, and disgorgement of commission and fees.

Broker Steven Dean in LPL Financial LLC Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 05, 2021.

The customer alleged unsuitable recommendation.

Broker Johnny Rutledge in LPL Financial LLC Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 11, 2021.

Claimants allege their financial professional recommended they invest in a municipal bond, a corporate debenture and an open-end mutual fund that were unsuitable for their investment portfolio. Activity period: 11/2016 to 12/20.

There are Recent Customer Complaints with Broker Christopher Black in Firm LPL Financial LLC

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Black (Black), previously associated with LPL Financial LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Black recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 12, 2021.

Without admitting or denying the findings, Black consented to the sanction and to the entry of findings that he refused to provide information and documents that were requested by FINRA in connection with an investigation into circumstances of his termination from his former member firm. The findings stated that Black’s former firm filed a Form U5 stating that it had terminated Black for entering into undisclosed loan arrangements with a customer without providing notice to the firm.

Broker Robert Audet in LPL Financial LLC Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Audet (Audet), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Audet 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 $250,000.00 on January 12, 2021.

Claimants allege their financial professional recommended they invest in a REIT, certain limited partnerships, and an ETF which was unsuitable for their investment portfolio.

There are Recent Customer Complaints with Broker Geoffrey Brown in Firm LPL Financial LLC

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Geoffrey Brown (Brown), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $500,000.00 on January 12, 2021.

Claimants allege that registered representative did not discuss or explain risk in recommending investments.

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

April 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Huisinga (Huisinga), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huisinga 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 $100,000.00 on January 20, 2021.

Claimant alleges that purchases of alternative investments and annuities at a prior broker-dealer were unsuitable. Activity Period 4/2013 – 1/2021.

There are Recent Customer Complaints with Broker Jay Panzer in Firm LPL Financial LLC

April 15, 2026 | by Staff Attorney

Currently financial advisor Jay Panzer (Panzer), 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 January 20, 2021.

Claimant alleges her investment professional recommended she invest in certain REITs and Business Development Companies which were allegedly unsuitable for her investment portfolio.

Broker Roy Nazaroff in LPL Financial LLC Firm Has Customer Complaint

April 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Nazaroff (Nazaroff), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nazaroff 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 $32,000.00 on January 19, 2021.

Claimant alleges that the purchase of one reit investment in 2014 was unsuitable. Activity period: 12/2014 – 1/2021.

There are Recent Customer Complaints with Broker Kevin Adam in Firm LPL Financial LLC

April 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Adam (Adam), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Adam 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 $40,000.00 on October 13, 2025.

Claimant generally alleges misrepresentation and breach of fiduciary duty.