Articles Tagged with LPL Financial LLC

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

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

Plaintiff alleges that from 2006 through 2008, the financial advisor made unsuitable recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Ciucci (Ciucci), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ciucci 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 $33,823.00 on January 07, 2025.

Client alleges that Financial Professional failed to disclose that an early distribution from a retirement account would be taxed.

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Currently financial advisor Cataldo Panici (Panici), currently employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint on March 20, 2025.

Claimants allege that between June 2012 and June 2023, representative made unsuitable investments in REITs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Barnhill (Barnhill), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barnhill 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 $70,000.00 on April 03, 2025.

Client alleges his former financial advisor made a series of unauthorized transactions selling his equities and treasury securities, and purchasing a new stock without his authorization. Client alleges this caused his portfolio value to significantly decrease.

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Currently financial advisor Alan Levine (Levine), currently employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $99,999.00 on April 02, 2025.

Clients allege that Financial Professional misrepresented the risks associated with REITs and BDCs and investments were overconcentrated and unsuitable. Activity date: May 16, 2012 to June 1, 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Debra Shultz (Shultz), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shultz 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 April 04, 2025.

14 undisclosed OBA activity  10/01/2023 -03/11/2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stanley Patrick (Patrick), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patrick 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 $35,000.00 on April 05, 2025.

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 Stacy Bush (Bush), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bush 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 $35,000.00 on April 05, 2025.

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 Mark Towne (Towne), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Towne 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 $41,000.00 on April 09, 2025.

Reg BI – The client’s alleges the advisor did not act in the client’s best interest when recommending two positions in 2015 that did not perform well and should have kept the client apprised of the investments’ performance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jordan Rider (Rider), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rider 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 $120,000.00 on April 11, 2025.

Reg BI – alleges that FA mismanaged accounts and failed to disclose risks of of investments, suitability concerns

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