Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Schultz (Schultz), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schultz 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 $46,862.57 on May 28, 2024.

Claimant alleges representative recommended unsuitable investments in her 401(k) plan account during the time period 2021-2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shannon Moore (Moore), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 $200,000.00 on June 12, 2024.

Customer alleges that an investment made in 2016 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 Yan Sun (Sun), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sun 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 $50,000.00 on June 13, 2024.

Customer alleges representative made unsuitable investment recommendations during the time period 2017 to 2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Gomez (Gomez), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gomez 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 $400,000.00 on June 13, 2024.

Estate executors allege that between 2014 and 2021, representative recommended certain alternative investments that were allegedly unsuitable for the client’s portfolio.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Baroncini (Baroncini), currently associated with LPL Financial LLC, has at least 11 disclosable events. These events include 11 customer complaints, alleging that Baroncini 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 $90,000.00 on June 20, 2024.

Customer alleges that representative failed to supervise another investment adviser under his management who allegedly employed an unsuitable trading strategy. Time period April 2019 to May 2020.

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

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

Customer alleges that investments made in 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 Felipe Colon (Colon), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Colon 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 $500,000.00 on July 22, 2024.

Customer alleges during the time period 2015-2024, representative recommended investments that were unsuitable for the customer’s investment profile and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Martinelli (Martinelli), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martinelli 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 $3,000,000.00 on July 18, 2024.

Customer alleges failure to follow instructions regarding option trades and poor performance with respect to customer’s managed portfolio. Time period 2019-2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Hirthler (Hirthler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hirthler 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 $3,000,000.00 on July 18, 2024.

Customer alleges failure to follow instructions regarding option trades and poor performance with respect to customer’s managed portfolio. Time period 2019-2024.

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

FINRA BrokerCheck shows a pending customer complaint on July 22, 2024.

Customer alleges representative did not act in their best interest when representative used discretion to sell equities in the account in July 2021.

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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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