LPL Financial LLC

Broker Christian Johnston in LPL Financial LLC Firm Has Customer Complaint

May 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christian Johnston (Johnston), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnston 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 $225,000.00 on May 06, 2024.

Customers allege that investments made in or around 2014 were unsuitable for the customers’ investment objectives and risk tolerance.

Broker Richard Hill in LPL Financial LLC Firm Has Customer Complaint

May 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Walter Less in Firm LPL Financial LLC

May 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Less (Less), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Less 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 $254,048.00 on May 13, 2024.

Complaint alleges that the advisor approved transactions that were not authorized by the POA agreement on file.

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

May 3, 2025 | by Staff Attorney

Previously financial advisor Kevin Mccallum (Mccallum), previously employed by brokerage firm LPL Financial LLC has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. 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 final customer complaint on May 17, 2024.

Mccallum violated Commission Rule 830-X-3.12 when he overconcentrated clients’ accounts in the BDC when it was not suitable for the clients.

Broker James Stossel in LPL Financial LLC Firm Has Customer Complaint

May 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Stossel (Stossel), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stossel 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 $11,000.00 on May 17, 2024.

The client alleges the advisor delayed following instructions to reduce risk in a Model Wealth Portfolio account, resulting in damages totaling $11,000.\, Failure to follow instruction. 03-18-2024 to 05-02-2024

Broker Tyler Schultz in LPL Financial LLC Firm Has Customer Complaint

May 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Schultz (Schultz), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schultz 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 $46,862.57 on May 28, 2024.

Claimant alleges representative recommended unsuitable investments in her 401(k) plan account during the time period 2021-2022.

Broker Shannon Moore in LPL Financial LLC Firm Has Customer Complaint

April 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shannon Moore (Moore), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 June 12, 2024.

Customer alleges that an investment made in 2016 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Yan Sun in LPL Financial LLC Firm Has Customer Complaint

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yan Sun (Sun), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sun 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 June 13, 2024.

Customer alleges representative made unsuitable investment recommendations during the time period 2017 to 2024.

Broker George Gomez in LPL Financial LLC Firm Has Customer Complaint

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Gomez (Gomez), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gomez 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 June 13, 2024.

Estate executors allege that between 2014 and 2021, representative recommended certain alternative investments that were allegedly unsuitable for the client’s portfolio.

There are Recent Customer Complaints with Broker Edward Baroncini in Firm LPL Financial LLC

April 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Baroncini (Baroncini), currently associated with LPL Financial LLC, has at least 11 disclosable events. These events include 11 customer complaints, alleging that Baroncini 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 $90,000.00 on June 20, 2024.

Customer alleges that representative failed to supervise another investment adviser under his management who allegedly employed an unsuitable trading strategy. Time period April 2019 to May 2020.