LPL Financial LLC

There are Recent Customer Complaints with Broker Bruce Helmer in Firm LPL Financial LLC / Wealth Enhancement Brokerage Services, LLC

March 13, 2025 | by Staff Attorney

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

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

The customer alleged unauthorized activation of annuity feature.

Broker Anthony Dilullo in LPL Financial LLC Firm Has Customer Complaint

March 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Dilullo (Dilullo), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dilullo 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 $750,000.00 on October 16, 2024.

Customer alleges that investments made from November of 2018 to October 2021 were unsuitable for the customer’s investment objectives and risk tolerance.

Broker Jonathan Upton in LPL Financial LLC Firm Has Customer Complaint

March 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Upton (Upton), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Upton 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 $250,000.00 on October 16, 2024.

Customers allege that investments made were unsuitable for the customers’ investment objectives and risk tolerance. Timeframe: 2012 – 2018

Broker William Sullivan in LPL Financial LLC Firm Has Customer Complaint

March 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 16, 2024.

Customer alleges that investments in mutual funds made from October 2021 to December 2023 were unsuitable for the customer’s investment objectives and risk tolerance

Broker Ashley Thompson in LPL Financial LLC Firm Has Customer Complaint

March 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 18, 2024.

Customer alleges representative failed to follow instructions. Time period: 2017-2023.

Broker Scott Hartman in LPL Financial LLC Firm Has Customer Complaint

March 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 22, 2024.

Claimant alleges they were recommended unsuitable investments.

There are Recent Customer Complaints with Broker Travis James in Firm LPL Financial LLC

March 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 18, 2024.

Customer alleges representative failed to follow instructions. Time period: 2017-2023.

There are Recent Customer Complaints with Broker Philip Masi in Firm LPL Financial LLC

March 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Masi (Masi), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Masi 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 $100,000.00 on December 30, 2024.

CLAIMANT ALLEGES THE RR RECOMMENDED AN UNSUITABLE OIL & GAS INVESTMENT

There are Recent Customer Complaints with Broker Edward Hill in Firm LPL Financial LLC

March 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Hill (Hill), currently associated with LPL Financial LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Hill 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 $175,000.00 on January 10, 2025.

Customer alleges that an investment made in 2021 was unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Michael Graham in Firm LPL Financial LLC

March 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Graham (Graham), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Graham 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 $276,200.00 on January 15, 2025.

Customer alleges that an investment made in 2023 was unsuitable for the customer’s investment objectives and risk tolerance and that the registered representative engaged in securities transactions away from the firm.