Articles Tagged with LPL Financial LLC

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

FINRA BrokerCheck shows a settled 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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Brown (Brown), previously 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 on February 08, 2024.

Customer alleges that investments made in 2013 were 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 Todd Pilosi (Pilosi), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pilosi 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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sotiraq Qirjollari (Qirjollari), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Qirjollari 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 $72,577.00 on February 12, 2024.

Customer alleges representative recommended an unsuitable portfolio of investments during the time period March 2017 to March 2020.

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

Customers allege that investments made in 2013 were unsuitable for the customers’ investment objectives and risk tolerances.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ross Fabregas (Fabregas), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fabregas 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 $15,000.00 on February 14, 2024.

Customer alleged the advisor solicited a $15,000 undisclosed personal loan which he failed to pay back.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Duncan Maceachern (Maceachern), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Maceachern 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 February 13, 2024.

The customer alleges that in December of 2020, the Registered Representative recommended an unsuitable, high-risk, illiquid investment, and breached his fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Behrend (Behrend), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Behrend 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 investments made in 2013 were 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 Mario Barone (Barone), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barone 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 investments made in 2013-2014 were 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 Kultar Bindra (Bindra), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bindra 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 $31,860.00 on February 16, 2024.

Client alleges an unsuitable recommendation was made.

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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
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