Articles Tagged with LPL Financial LLC

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

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

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

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Felipe Colon (Colon), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Colon 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 $500,000.00 on July 22, 2024.

Customer alleges during the time period 2015-2024, representative recommended investments that were unsuitable for the customer’s investment profile and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Martinelli (Martinelli), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martinelli 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 $3,000,000.00 on July 18, 2024.

Customer alleges failure to follow instructions regarding option trades and poor performance with respect to customer’s managed portfolio. Time period 2019-2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Hirthler (Hirthler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hirthler 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 $3,000,000.00 on July 18, 2024.

Customer alleges failure to follow instructions regarding option trades and poor performance with respect to customer’s managed portfolio. Time period 2019-2024.

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

FINRA BrokerCheck shows a pending customer complaint on July 22, 2024.

Customer alleges representative did not act in their best interest when representative used discretion to sell equities in the account in July 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Raigoza (Raigoza), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raigoza 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 $45,000.00 on July 30, 2024.

Claimants allege they suffered losses due to representative’s choice of investments that allegedly underperformed. Time period September 2020 to March 2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patricia Fleming (Fleming), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fleming 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 $500,000.00 on July 30, 2024.

Client alleges that certain mutual funds and ETFs purchased for his managed portfolio were not suitable the client. Time period: 2019-2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Albert Chen (Chen), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chen 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 $25,000.00 on November 27, 2024.

Alleges losses in portfolio value due to lack of Mr. Chen’s taking action in line with his fiduciary duties to address the rapid and devasting depletion of the client’s funds.

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

FINRA BrokerCheck shows a pending customer complaint on August 25, 2024.

Customer alleges unauthorized trades.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Earls (Earls), previously associated with LPL Financial LLC, has at least 9 disclosable events. These events include 9 customer complaints, alleging that Earls 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 $17,000.00 on November 20, 2024.

July 2022 – Theft of two checks totaling $17,000.

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Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
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