Articles Tagged with LPL Financial LLC

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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 2 disclosable events. These events include 2 customer complaints, 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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Wagner (Wagner), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wagner 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 $10,000.00  on April 14, 2020.

Client alleges that advisor’s actions caused a delay in settling his deceased father’s acounts. Client alleges that the delay caused him to lose $10,000.00 due to a decrease in account values and the cost incurred in hiring an attorney. Alleged activity dates 2/13/2020 to 4/14/2020.

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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 2 disclosable events. These events include 2 customer complaints, 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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Cleckner (Cleckner), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cleckner 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 $125,000.00  on April 20, 2020.

The firm received a FINRA notification of a customer complaint from [REDACTED] alleging the RR made four unauthorized withdrawals from her rollover IRA between 3/17/15 and 3/9/17 by forging her signature on one form and submitting three other forms that did not include her signature.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Zimmerman (Zimmerman), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Zimmerman 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 $30,000.00  on August 10, 2020.

Elderly Claimant alleges poor recommendation of an investment in FS KKR, which Claimant contends was unsuitable because the value of the investment allegedly declined following a public listing event. Activity Period:  2/20/18 – 8/10/20

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Currently financial advisor Chad Vandenbusch (Vandenbusch), currently employed by brokerage firm LPL Financial LLC has been subject to at least 2 disclosable events. These events include 2 customer complaints. 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 $220,000.00  on August 11, 2020.

Client alleges structured products and REITs sold were misrepresented as safer investments than conventional equities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Quinn (Quinn), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Quinn 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 August 27, 2020.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00  on August 27, 2020.

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Currently financial advisor Peter Albano (Albano), currently employed by brokerage firm LPL Financial LLC has been subject to at least 2 disclosable events. These events include 2 customer complaints. 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 $60,000.00  on August 25, 2020.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $60,000.00  on August 25, 2020.

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $500,000.00  on April 02, 2020.

Karen Boykin was a subject of the customers’ complaint against her member firms that asserted the following causes of action: breach of fiduciary duty, violation of Missouri’s Securities Act \\u00a7 409-5.501 et al, common law fraud, breach of contract, negligence/negligent misrepresentation/omission, unjust enrichment, and negligent supervision.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Castillo (Castillo), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Castillo 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 $391,901.00  on April 09, 2020.

Client alleges suitability regarding mutual fund investment. Activity dates 03/2020-03/2020.

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