LPL Financial LLC

Broker Kenneth Christie in LPL Financial LLC Firm Has Customer Complaint

July 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 18, 2020.

Customer alleges Failure to follow instructions to not make investments in her Discretionary Managed Accounts

There are Recent Customer Complaints with Broker Ilan Tsapovski in Firm LPL Financial LLC

July 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ilan Tsapovski (Tsapovski), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tsapovski 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 $36,588.87 on March 24, 2020.

CLIENT OPENED CITI ADVISOR NON-DISCRETIONARY MANAGED ACCOUNT ON 2/14/2020. CLIENT ALLEGED THAT HE GAVE REGISTERED REPRESENTATIVE EXPLICIT INSTRUCTIONS THAT HIS MONEY WAS TO BE INVESTED IN A TRIPLE TAX FREE MUNICIPAL BOND FUND, AND WAS TOLD IF HE SHOULD EVER NEED ANY OF THE FUNDS HE COULD GET THEM ON A DAY’S NOTICE. INSTEAD OF FOLLOWING HIS INSTRUCTIONS, CLIENT ALLEGED REGISTERED REPRESENTATIVE BOUGHT AND SOLD VARIOUS SECURITIES OVER A PERIOD OF A MONTH DESPITE HIS OBJECTIONS. CLIENT CLAIMED THAT HE TRIED TO LIQUIDATE HIS ACCOUNT WHEN IT WAS DOWN APPROXIMATELY $20k ON MARCH 16 BUT WAS UNABLE TO DO SO UNTIL MARCH 18. CLIENT STATED THAT HIS ACCOUNT LOST APPROXIMATELY $37K AND HE WANTS TO RECOVER THE FUNDS. OCCURRENCE DATE: 2/18/2020 – 3/18/2020. REALIZED LOSSES: $36,588.87.

There are Recent Customer Complaints with Broker Patrick Pepper in Firm LPL Financial LLC

July 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2020.

Customer amended allegations to allege misrepresentation of mutual funds.

Broker Daniel Claric in LPL Financial LLC Firm Has Customer Complaint

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Claric (Claric), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Claric 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 $88,000.00 on March 27, 2020.

In 2018, the client’s daughter took unauthorized distributions in the amount of $88,000 from her father’s IRA that were not authorized.

There are Recent Customer Complaints with Broker Jeffrey Mathis in Firm LPL Financial LLC

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Mathis (Mathis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mathis 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 $150,000.00 on March 30, 2020.

Claimant alleges representative recommended claimant invest in an unsuitable, non-traded, registered direct participation program, United Development Funding III, and Broker breached its duty to supervise its agent and claimant’s account. The transaction occurred in 2007.

Broker Ronald Nagy in LPL Financial LLC Firm Has Customer Complaint

July 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 27, 2020.

Client complained that the financial advisor did not advise him that some of his investments had to be sold to facilitate the transfer his account, or that the sales would result in tax consequences. (11/21/2019-3/17/2020)

Broker Joseph Malboeuf in LPL Financial LLC Firm Has Customer Complaint

July 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2020.

Customer alleges failure to follow instructions with respect to allocation of account. Activity dates 10/1/19 through 4/1/20

Broker Dawn West in LPL Financial LLC Firm Has Customer Complaint

July 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 01, 2020.

Claimant alleges that in September 2018 advisor recommended an unsuitable investment in a structured note which the advisor then unilaterally sold in March 2020.

There are Recent Customer Complaints with Broker Stephen Franklin in Firm LPL Financial LLC

July 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Franklin (Franklin), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Franklin 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 31, 2020.

Claimant, through his power of attorney, alleges that in 2014 advisor recommended claimant to invest in a Real Estate Investment Trust (‘REIT’) that was unsuitable for the claimant’s risk tolerance and also failed to advise the claimant about the REIT’s risks and commissions.

There are Recent Customer Complaints with Broker Karen Boykin in Firm LPL Financial LLC

July 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $500,000.00 on April 02, 2020.

Karen Boykin was a subject of the customers’ complaint against her member firms that asserted the following causes of action: breach of fiduciary duty, violation of Missouri’s Securities Act \\u00a7 409-5.501 et al, common law fraud, breach of contract, negligence/negligent misrepresentation/omission, unjust enrichment, and negligent supervision.