LPL Financial LLC

There are Recent Customer Complaints with Broker Joseph Kirkland in Firm LPL Financial LLC

January 11, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on April 04, 2023.

The Securities and Exchange Commission (‘Commission’) deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted pursuant to Section 15(b) of the Securities Exchange Act of 1934 (‘Exchange Act’) and Section 203(f) of the Investment Advisers Act of 1940 (‘Advisers Act’) against Joseph Kirkland (‘Respondent’). The Commission finds that on October 28, 2022, Respondent pleaded guilty to one count of conspiracy to commit wire fraud in violation of Title 18, United States Code, Sections 1349 and 1343 before the United States District Court for the District of Puerto Rico, in United States v. Joseph Kirkland, et al., Crim. No. 3:21-cr-00082-ADC-MDM (D.P.R.). Respondent is awaiting sentencing. In his guilty plea, Respondent stipulated that from on or about March 2016 to on or about June 2018, he conspired with others to defraud the Municipality of Mayag\\u00fcez, Puerto Rico (the ‘City’) and its municipal enterprise, Mayag\\u00fcez Economic Development, Inc. (‘MEDI’), and to obtain money and property by means of materially false and misleading statements involving the City’s funds. Respondent was the registered representative responsible for MEDI’s brokerage account at UBIS, which held $9 million of the City’s funds earmarked for improving a local trauma center. Respondent made and caused to be made materially false statements to the City, through electronic messages, asserting that the City’s $9 million in principal was invested at a high rate of return. In reality, Respondent caused financial transactions that depleted the City’s funds and converted a portion of the City’s funds to Respondent’s own personal use.

Broker John Pelletier in LPL Financial LLC Firm Has Customer Complaint

January 10, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on September 21, 2023.

Pelletier was named a respondent in a FINRA complaint alleging that he engaged in unauthorized trading by executing trades with a total principal value of $37,799 in a member firm customer’s IRA without the customer’s or an authorized person’s prior written or oral authorization or consent. The complaint alleges that the customer, a 62-year-old who was retiring, was the sole owner of the IRA and the only person authorized to direct trades in the account. The customer was identified as ‘single’ on the new account documents, and his ex-wife was identified as the primary beneficiary of the account. The only securities transactions in, or distributions from, the IRA were periodic distributions of $500 to be deposited every month in a checking account he held jointly with his ex-wife. Each of the unauthorized trades involved Pelletier selling one of two classes of shares of a mutual fund holding in the customer’s account in order to fund a redemption and distribution. Although the customer’s ex-wife was not an authorized party on the account, Pelletier executed each of the trades after receiving verbal instructions to process the redemption solely from the customer’s ex-wife. Further, the customer had not provided Pelletier or the firm with written authorization or a power of attorney authorizing his ex-wife to direct trading in the account. For each of the trades, Pelletier decided which class of mutual fund to sell in order to generate the funds requested by the customer’s ex-wife, without obtaining authorization or consent from the customer for the trades.

Broker Michael O’meara in LPL Financial LLC Firm Has Customer Complaint

January 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael O’meara (O’meara), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that O’meara 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 24, 2022.

Claimants allege misrepresentation and omissions made by Respondent regarding a real estate investment trust investment. Activity date 1/1/2016 to 7/19/2019.

Broker Stephanie O’hara in LPL Financial LLC Firm Has Customer Complaint

January 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint on March 14, 2022.

The decision to offer 3.75% on the line of credit instead of 3.25% violated Reg BI and advice within investment strategy that claimant should borrow against the non-purpose loan at 3.75% rather than sell pledged stock (BGCP) which was paying 6% and disabusing claimant of claimant’s idea to liquidate shares to buy Florida home.

There are Recent Customer Complaints with Broker David Segarra in Firm LPL Financial LLC

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Segarra (Segarra), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Segarra 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 October 24, 2025.

The customer alleges that, the Registered Representative recommended an unsuitable, high-risk, illiquid investment. No specific dates for the alleged activity were identified in the Statement of Claim.

There are Recent Customer Complaints with Broker Bryce Hamilton in Firm LPL Financial LLC

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryce Hamilton (Hamilton), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hamilton 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 $1,000,000.00 on October 21, 2025.

The customers allege that the Registered Representative recommended and misrepresented unsuitable, high-risk, speculative and illiquid investments and breached his fiduciary duty. No specific dates for the alleged activity were identified in the Statement of Claim.

There are Recent Customer Complaints with Broker Jennifer Eilers in Firm LPL Financial LLC

January 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 14, 2025.

Claimant alleges registered representative breached her fiduciary duty by allowing her customer to list the registered representative’s minor son as a beneficiary of an account managed in 2025.

There are Recent Customer Complaints with Broker Gregory Berg in Firm LPL Financial LLC

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Berg (Berg), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Berg 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 $200,000.00 on November 18, 2025.

Customer alleges misrepresentations and unauthorized annuitization of variable annuity

Broker William Tunink in LPL Financial LLC Firm Has Customer Complaint

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Tunink (Tunink), previously associated with LPL Financial LLC, has at least 7 disclosable events. These events include 7 customer complaints, alleging that Tunink 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 $205,000.00 on November 17, 2025.

Broker obtained loans from customer, some of which were used for an investment opportunity away from the firm. Time frame: November 2024 to September 2025.

Broker Nouachi Vang in LPL Financial LLC Firm Has Customer Complaint

January 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nouachi Vang (Vang), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vang 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 $135,000.00 on November 24, 2025.

THE CLIENT ALLEGES FRAUDULENT MISAPPROPRIATION OF ASSETS RESULTING IN A FINANCIAL LOSS EXCEEDING $135,000.00