Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Geremy Connor (Connor), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Connor 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 $78,000.00 on March 25, 2021.

Claimants allege their financial professionals recommended they invest in two Business Development Companies that were unsuitable for their financial portfolio.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Fross (Fross), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fross 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 March 20, 2021.

Claimant alleges unsuitability in connection with a reit purchase made over 12 years ago at sii investments. Activity period – 2008 – 2011.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Melikidse (Melikidse), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Melikidse 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 $350,000.00 on April 01, 2021.

Customer alleges  REIT and Business Development Company purchases were unsuitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hathaway (Hathaway), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hathaway 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 $8,501.00 on April 07, 2021.

Customer alleges that during the approximate time period of June 2020 to February 2021, the Representative promised him that the money in his variable universal life insurance (VUL) policy was safe and the Customer would receive the VUL policy’s Accumulated Value upon a policy change to a term policy but no policy change occurred. The VUL policy lapsed due to non-payment of premium and the Customer did not receive any funds because the surrender charges exceeded the VUL policy’s Accumulated Value. The Customer is requesting a full refund of premiums paid into the VUL policy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joyanna Argeny Wildern (Argeny Wildern), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Argeny Wildern 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 $5,000.00 on April 14, 2021.

Client alleges that 2019 variable annuity purchase was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Micone (Micone), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Micone 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 $100,000.00 on April 09, 2021.

Claimant alleges his financial professional recommended he invest in two allegedly unsuitable business development complanies. Activity period:  12/2013 – 4/2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Sopher (Sopher), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sopher 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 $73,000.00 on April 26, 2021.

Claimant alleges negligence, breach of fiduciary duty, and failure to supervise.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Krizner (Krizner), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Krizner 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 $33,204.60 on April 30, 2021.

Alleged loss of investment income, unnecessary taxes and penalties.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Gore Ii (Gore Ii), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gore Ii 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 $18,000.00 on May 11, 2021.

Claimants allege that in 2014 representative recommended they invest in a Real Estate Investment Trust (‘REIT’) that was unsuitable for the their risk tolerance and also failed to advise the claimant about the REIT’s risks and commissions.

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

FINRA BrokerCheck shows a settled customer complaint on May 11, 2021.

Client verbally alleged failure to follow instructions with respect to termination the advisory agreement in account – February 2021 to April 2021.

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New York, NY 10017
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#100
Chicago, IL 60613
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#1
Montclair, NJ 07042
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