Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Arnold (Arnold), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arnold 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 $400,000.00 on January 05, 2026.

Customers claim representative recommended investment strategy in non-transparent, non-traded, complex products that were not in their best interests, and further claim that they were not properly advised on the potential tax consequences on the rollover of an annuity.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Scott Mcbride (Mcbride), 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), Mcbride’s most recent customer complaint alleges that Mcbride 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 $15,000.00 on January 06, 2026.

Customer alleged misrepresentation of a structured product that was purchased in 2023

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Buddy Mason (Mason), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mason 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 December 29, 2025.

Advisor presented investment opportunity away from the Firm which resulted in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mitchell Arnold (Arnold), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arnold 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 $400,000.00 on January 05, 2026.

Customers claim representative recommended investment strategy in non-transparent, non-traded, complex products that were not in their best interests, and further claim that they were not properly advised on the potential tax consequences on the rollover of an annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Peeler (Peeler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peeler 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 $40,000.00 on January 08, 2026.

Customer verbally alleged misrepresentation of annuity feature 11/1/2010-4/9/2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Albert Wojcik (Wojcik), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wojcik 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 January 14, 2026.

Customers state representative recommended investments in REITS that were not within their best interest and that resulted in financial losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Wilkinson (Wilkinson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wilkinson 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 $325,000.00 on January 17, 2026.

Customer alleges the representative did not act in the best interest of the retail customer when recommending investment to the customer between January 2017 through August 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michaela Rauscher (Rauscher), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rauscher 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 $20,000.00 on January 30, 2026.

Customer alleges the representative did not act in the best interest of the retail customer when recommending investment to the customer in April 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shomir Mukherjee (Mukherjee), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mukherjee 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 $65,000.00 on January 30, 2026.

Customer alleges the representative and the firm did not act in the best interest of the retail customer when recommending investment to the customer between 2020-2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Photiadis (Photiadis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Photiadis 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 $288,000.00 on January 30, 2026.

Customer alleges that an investment made in December of 2019 was unsuitable for the customer’s investment objectives and risk tolerance.

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New York, NY 10017
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#100
Chicago, IL 60613
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#1
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