LPL Financial LLC

There are Recent Customer Complaints with Broker Jimmy Lee in Firm LPL Financial LLC

May 18, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jimmy Lee (Lee), currently employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Lee’s most recent customer complaint alleges that Lee recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $140,000.00 on March 12, 2026.

Customers allege financial professional misrepresented investments in structured notes which were unsuitable.

There are Recent Customer Complaints with Broker William Tunink in Firm LPL Financial LLC

May 18, 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 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Tunink recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 13, 2026.

Respondent Tunink failed to respond to FINRA requests for information.

Broker Troy Miller in LPL Financial LLC Firm Has Customer Complaint

May 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Miller (Miller), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $900,000.00 on March 12, 2026.

Customer alleges the representative failed to stop the Customer from withdrawing funds from his own accounts that the Customer then invested in an allegedly fraudulent scheme.

There are Recent Customer Complaints with Broker Jonathan Blount in Firm LPL Financial LLC

May 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Blount (Blount), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blount 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 $192,000.00 on March 17, 2026.

Customers alleged the registered representative misrepresented the investments made in May of 2017 through October 2020 and made unsuitable investments based on their investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Robert Quinlan in Firm LPL Financial LLC

May 16, 2026 | 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 pending customer complaint with a damage request of $1,700,000.00 on March 18, 2026.

Customers 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. Portfolio sustained losses unacceptable to\, customers and in customers opinion, demands restitution. Advisor vehemently denies the\, allegations and intends to defend the case vigorously.

There are Recent Customer Complaints with Broker Pamela Linderman in Firm LPL Financial LLC

May 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pamela Linderman (Linderman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Linderman 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 $110,000.00 on March 18, 2026.

Customer alleges failure to supervise the 2013 sale of a variable annuity, resulting in alleged misrepresentation and unsuitability, by the financial professional in her supervisory capacity.

Broker Timothy Fitzgerald in LPL Financial LLC Firm Has Customer Complaint

May 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Fitzgerald (Fitzgerald), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fitzgerald 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 $14,000.00 on March 17, 2026.

Customer alleges Rep failed to inform her that rebalancing her portfolio would result in significant tax consequences.

There are Recent Customer Complaints with Broker Eric Johnson in Firm LPL Financial LLC

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Johnson (Johnson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $1,648,579.20 on April 13, 2026.

The estate alleges that the registered representative changed the beneficiaries without permission.

Broker Robert Willauer in LPL Financial LLC Firm Has Customer Complaint

May 11, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 18, 2020.

Customers alleged that transactions in their managed accounts were not for their benefit, and sought reimbursement of various account and advisory fees totaling approximately $6,573.42. Activity period – 7/15/11 to 4/18/20.

Broker Oscar Harrison in LPL Financial LLC Firm Has Customer Complaint

May 11, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 14, 2020.

Customer alleges a mutual fund was purchased without her authorization. Customer alleges misrepresentation of a variable annuity. Activity period – 11/24/19 to 9/11/20.