LPL Financial LLC

Broker David Ward in LPL Financial LLC Firm Has Customer Complaint

November 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 08, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

There are Recent Customer Complaints with Broker Kevin Mcgrady in Firm LPL Financial LLC

November 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 08, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

Broker Michael Kane in LPL Financial LLC Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kane (Kane), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kane 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 $164,964.84 on July 15, 2022.

Unsuitable recommendations, misrepresentation and omission.

There are Recent Customer Complaints with Broker Todd Scorzafava in Firm LPL Financial LLC

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Scorzafava (Scorzafava), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Scorzafava 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 11, 2022.

The client alleged that the former representative provided unsuitable investment advice and did not fully disclose material elements of a recommended transaction, resulting in losses to the client.

Broker Anthony Couch in LPL Financial LLC Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Couch (Couch), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Couch 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 $64,080.00 on July 11, 2022.

Plaintiffs allege breach of fiduciary duty with regard to the rollover of an annuity that created a tax liability.

Broker Daintry Price in LPL Financial LLC / Hub International Investment Services INC. Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daintry Price (Price), currently associated with LPL Financial LLC / Hub International Investment Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Price 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 July 11, 2022.

Deceased client’s heirs are alleging an estimated $100,000.00 loss due to a delayed account liquidation as part of an estate settlement.

There are Recent Customer Complaints with Broker Arthur Littlefield in Firm LPL Financial LLC

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arthur Littlefield (Littlefield), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Littlefield 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 July 27, 2022.

Claimant alleges their representative recommended an unsuitable investment in an oil and gas program.

Broker Travis Kohn in LPL Financial LLC Firm Has Customer Complaint

November 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 01, 2022.

Customer alleged failure to follow instructions with respect to liquidation of mutual funds.

Broker Robert Quinlan in LPL Financial LLC Firm Has Customer Complaint

November 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Quinlan (Quinlan), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Quinlan 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 $250,000.00 on August 05, 2022.

CUSTOMER ALLEGED THAT ADVISOR EMBARKED ON A HIGH-RISK STRATEGY OF CONCENTRATING ACCOUNT POSITIONS WITH EQUITY PURCHASES AND CALL OPTIONS. CUSTOMER STATES POSITIONS IN ACCOUNT DID NOT REFLECT INVESTMENT OBJECTIVES OR RISK TOLERANCE PREVIOUSLY DISCUSSED WITH ADVISOR. PORTFOLIO SUSTAINED LOSES UNACCEPTABLE TO CUSTOMER AND IN CUSTOMER’S OPINION, DEMANDS RESTITUTION.

There are Recent Customer Complaints with Broker Paul Hoghaug in Firm LPL Financial LLC

November 10, 2025 | by Staff Attorney

Currently financial advisor Paul Hoghaug (Hoghaug), 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 settled customer complaint with a damage request of $17,483.30 on August 01, 2022.

The client alleges that private Real Estate Investment Trusts (REITs) purchased back in 2014 and 2015 were not suitable for a condominium Association.