Articles Tagged with LPL Financial LLC

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Raigoza (Raigoza), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raigoza 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 $45,000.00 on July 30, 2024.

Claimants allege they suffered losses due to representative’s choice of investments that allegedly underperformed. Time period September 2020 to March 2024.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patricia Fleming (Fleming), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fleming 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 30, 2024.

Client alleges that certain mutual funds and ETFs purchased for his managed portfolio were not suitable the client. Time period: 2019-2024.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Albert Chen (Chen), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chen 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 $25,000.00 on November 27, 2024.

Alleges losses in portfolio value due to lack of Mr. Chen’s taking action in line with his fiduciary duties to address the rapid and devasting depletion of the client’s funds.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on August 25, 2024.

Customer alleges unauthorized trades.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Earls (Earls), previously associated with LPL Financial LLC, has at least 9 disclosable events. These events include 9 customer complaints, alleging that Earls 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 $17,000.00 on November 20, 2024.

July 2022 – Theft of two checks totaling $17,000.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Bernard (Bernard), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bernard 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 $36,000.00 on February 14, 2025.

Customer alleges that the terms of a CD were misrepresented when sold to him in 2017.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Lauzon (Lauzon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lauzon 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 $538,250.00 on February 12, 2025.

Brother alleges advisor, who is his brother, fraudently transferred funds from their father’s IRA account.\, 11/17/24 – 12/12/25

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Maglio (Maglio), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Maglio 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 $5,000.00 on February 14, 2025.

There is a good faith estimate that the requested damages are more than $5000 as the requested resolution is to exchange an annuity worth more than $500,000 without penalties.

Continue Reading

| by

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Eric Delaney (Delaney), currently associated with LPL Financial LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Delaney  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint on February 27, 2025.

Statement of Claim alleges an investment recommendation was made for the purpose of generating high commissions and fees and that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on February 27, 2025.

Customer alleges that investments made in 2022 were 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 © 2025, Gana Weinstein LLP
JUSTIA Law Firm Blog Design