Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barbara Leonard (Leonard), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Leonard 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 $125,000.00 on April 16, 2024.

Customers alleged the representative recommended unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Newman Ii (Newman Ii), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Newman Ii 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 $50,000.00 on April 16, 2024.

Customers alleged the representative recommended an unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Mckee (Mckee), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mckee 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 April 18, 2024.

Claimant alleges unsuitable recommendation and sale of alternative investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Cobb (Cobb), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cobb 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 $32,267.44 on April 18, 2024.

Client alleges that she gave advisor a firm order at a review meeting in July 2023 to purchase $50,000 worth of Eli Lilly shares (LLY). This purchase did not occur. Client reached out to advisor in March 2024 asking about the status of the purchase and why is had not been completed. He advised that he didn’t feel this was a good purchase for her at that time and they were set to discuss further. They met April 18, 2024 and the client says she made notes that she gave him an order and he was supposed to sell other mutual funds in the account and it seems possibly purchase another stock (NVO).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Mostero (Mostero), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Mostero 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 $350,000.00 on April 23, 2024.

Claimant alleges that their former representative engaged in an inappropriate relationship with Claimant, failed to protect her from poor financial decisions, and breached his duties of care, best interest, trust, and fair dealing.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Prokos (Prokos), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Prokos 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 $52,000.00 on April 29, 2024.

Customers allege that investments made in 2014 were unsuitable for the customers’ investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on May 01, 2024.

Customer alleges representative employed an unsuitable investment strategy during the time period September 2021 to October 2022.

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customers allege that investments made in 2014 were unsuitable for the customers’ investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2013 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 Bentley Beard (Beard), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beard recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance

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295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
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