LPL Financial LLC

Broker Christopher Robinson in LPL Financial LLC Firm Has Customer Complaint

March 20, 2025 | by Staff Attorney

Currently financial advisor Christopher Robinson (Robinson), 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 September 16, 2024.

Claimants allege that between 2018 and 2024, representative made unsuitable investments in REITs.

Broker Bradley Vick in LPL Financial LLC Firm Has Customer Complaint

March 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 13, 2024.

Customer alleges that the representative inaccurately communicated the interest rate of a fixed annuity the customer purchased in June 2022 with funds from a 401k rollover.

Broker Lawrence Greenfield in LPL Financial LLC Firm Has Customer Complaint

March 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Greenfield (Greenfield), previously associated with LPL Financial LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Greenfield 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 $100,000.01 on September 18, 2024.

Clients allege registered representative recommended an unsuitable investment.

Broker Richard Ceffalio in LPL Financial LLC Firm Has Customer Complaint

March 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Ceffalio (Ceffalio), previously associated with LPL Financial LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Ceffalio recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 23, 2024.

Customers allege that between 2012 and 2023 Ceffalio managed their accounts in an unsuitable manner and misrepresented the total value of claimants’ accounts.

There are Recent Customer Complaints with Broker Judith Dolle in Firm LPL Financial LLC

March 18, 2025 | by Staff Attorney

Previously financial advisor Judith Dolle (Dolle), previously employed by brokerage firm LPL Financial LLC has been subject to at least 2 disclosable events. These events include 2 customer complaints. 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 $750,000.00 on September 19, 2024.

Claimants allege representative made an unsuitable investment in a non-traded REIT. Time period is September 2015. (please do not provide an end date)

Broker Carlos Leston in LPL Financial LLC Firm Has Customer Complaint

March 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Leston (Leston), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Leston recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 30, 2024.

LESTON ENGAGED IN DISHONEST OR UNETHICAL BUSINESS PRACTICES \<char_lb_r>\, IN THE SECURITIES BUSINESS. LESTON ENGAGED IN DISHONEST OR UNETHICAL BUSINESS PRACTICES IN THE INSURANCE BUSINESS. LESTON IS THE SUBJECT OF AN ORDER OF A SELF-REGULATORY \<char_lb_r>\, ORGANIZATION EXPELLING HIM FROM A SELF-REGULATORY ORGANIZATION.

Broker Philip Benedict in LPL Financial LLC Firm Has Customer Complaint

March 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 26, 2024.

Customer alleges representative failed to follow instructions regarding annuitization of his accounts. Time period: 2017-2023.

There are Recent Customer Complaints with Broker Wendy Turk in Firm LPL Financial LLC

March 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wendy Turk (Turk), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Turk 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 $18,841.17 on October 06, 2024.

Phishing attack compromised adviser’s email and enabled a fraudster to impersonate advisor and persuade client to direct funds to the fraudster’s account instead of to the adviser.

Broker Evan Adelglass in LPL Financial LLC Firm Has Customer Complaint

March 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Adelglass (Adelglass), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Adelglass 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 $330,000.00 on October 07, 2024.

Customers allege that investments made were unsuitable for the customers’ investment objectives and risk tolerance. Time frame: 2021-2024.

Broker Feng Chen in LPL Financial LLC Firm Has Customer Complaint

March 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Feng Chen (Chen), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Chen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 08, 2024.

Without admitting or denying the findings, Chen consented to the sanction and to the entry of findings that he falsified information on customer account forms by adding his own name as beneficiary to the accounts without the customers’ knowledge or consent or his member firm’s approval. The findings stated that in doing so, Chen falsely identified himself as a friend or relative of the customers on the required forms. Subsequently, the firm detected Chen’s misconduct and removed him as beneficiary from the accounts. The findings also stated that without the customers’ prior authorization, Chen sold mutual funds in customer accounts totaling more than $1.9 million and purchased UITs for customer accounts totaling more than $1.7 million.