Articles Tagged with LPL Financial LLC

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lindemann (Lindemann), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lindemann 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 January 17, 2024.

Failure to follow instructions / March 22, 2023 – December 26, 2023.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on January 24, 2024.

Customer alleges that investments made in 2014 were unsuitable for the customer’s investment objectives and risk tolerance.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on January 24, 2024.

Claimant trustee alleges that the subject investment, which was purchased by third-party customers prior to their passing and subsequently transferred to a trust account, was not suitable for the customers (now deceased) when it was purchased in 2014.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Cavaliere (Cavaliere), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cavaliere 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 $300,000.00 on January 25, 2024.

Customers allege representative made unsuitable investment recommendations during the time period 2013-2018.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on January 29, 2024.

Customer alleges misrepresentation

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Fisher (Fisher), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fisher 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 January 25, 2024.

Customer alleged that advisor did not make proper disclosures when selling REIT in 2014.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on January 24, 2024.

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

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Fusco (Fusco), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fusco 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 February 02, 2024.

Executrix of estate alleges, inter alia, failure to supervise with respect to the margin balance maintained in the deceased client’s account after he passed away and the estate was being settled 2016-2023 .

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Damon Mapes (Mapes), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mapes 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 $250,000.00 on February 05, 2024.

Customer alleges representative made unsuitable investment recommendations.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

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

Continue Reading
Contact Information
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
ATTORNEY ADVERTISING

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design