LPL Financial LLC

Broker Stephen Rogers in LPL Financial LLC Firm Has Customer Complaint

February 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 13, 2025.

Customer alleges that an investment made in 2015 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Nouachi Vang in LPL Financial LLC Firm Has Customer Complaint

February 11, 2025 | 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 settled customer complaint on February 28, 2023.

Client alleges that the advisor invested in ETF instruments and did not follow the clients instructions, resulting insignificant unrealized losses. The dates of the activity leading to the allegations are January 25, 2022, through March 10, 2023, per filing by Vanguard.

There are Recent Customer Complaints with Broker Stacy Spearman in Firm LPL Financial LLC

February 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 02, 2023.

Alleged advisor made suspicious trades and transfers to accounts that do not belong to customer from 1/1/21 to 6/15/22

Broker Michael Hyser in LPL Financial LLC Firm Has Customer Complaint

February 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Hyser (Hyser), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hyser 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 $5,000.00 on April 28, 2023.

Claimants allege Mr. Hyser recommended the sale of unsuitable investments.

There are Recent Customer Complaints with Broker Christopher Mollan in Firm LPL Financial LLC

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Mollan (Mollan), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mollan 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 Deborah Anderson in Firm LPL Financial LLC

February 9, 2025 | by Staff Attorney

Previously financial advisor Deborah Anderson (Anderson), previously employed by brokerage firm LPL Financial LLC has been subject to at least 4 disclosable events. These events include 4 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 pending customer complaint on February 28, 2024.

The customers allege that the Registered Representative recommended unsuitable investments and investment strategies in various illiquid alternative investments. No specific dates for the alleged activity were identified in the Statement of Claim.

There are Recent Customer Complaints with Broker Kimberly Keller in Firm LPL Financial LLC

February 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Keller (Keller), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Keller 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 $297,000.00 on December 15, 2023.

Client alleges that representative misappropriated the funds in her account between July 2012 and May 2016.

Broker Brian Hinson in LPL Financial LLC Firm Has Customer Complaint

February 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 16, 2024.

This arbitration appears to be a complaint filed by multiple unrelated Claimants against Lincoln relative to the prior purchase of certain private investment funds. I formerly served as the Lincoln representative for one of the multiple Claimants. The allegations appear to concern Lincoln Financial Advisors’ marketing and due diligence processes. I was never served. I do not appear to be a named Respondent. There is no specific claim for damages against me.

There are Recent Customer Complaints with Broker Adam Ezrilov in Firm LPL Financial LLC

February 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on December 24, 2024.

Without admitting or denying the findings, Ezrilov consented to the sanction and to the entry of findings that he failed to appear for on-the-record testimony requested by FINRA in connection to its investigation of allegations made on a Form U6 submitted by his member firm. The findings stated that Ezrilov was discharged from his firm for submitting succession plan documents to the firm containing a non-genuine signature.

Broker Deborah Detray in LPL Financial LLC Firm Has Customer Complaint

February 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on November 07, 2023.

MS. DeTray is alleged to have operated as a securities dealer without a license by selling securities in Ohio that were not properly registered with the Ohio Department of Commerce.