Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ervie Houston (Houston), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Houston 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 $105,000.00 on February 23, 2023.

Client alleges the FP recommended an unsuitable investment strategy. This strategy included high commission, speculative, and illiquid alternative investments.

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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 settled customer complaint with a damage request of $99,999.00 on March 06, 2023.

Unsuitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kerri Patrick (Patrick), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patrick 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 $50,000.00 on March 03, 2023.

Client alleges unsuitable and misleading recommendations related to alternative investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Barson (Barson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barson 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 $99,000.00 on March 17, 2023.

The customer alleges breach of fiduciary duty, lack of suitability, misrepresentations and failure to supervise in regards to investments made on behalf of the customer.

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

FINRA BrokerCheck shows a pending customer complaint on March 17, 2023.

Claimants allege representative made unsuitable investment recommendations during the period of January 2018 to June 2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Evans (Evans), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Evans 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 $1,626,972.00 on March 16, 2023.

Customer alleges that advisor breached his fiduciary duties by approving cash withdrawals, which indirectly benefitted the advisor. Time period June 2021 to August 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Hall (Hall), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hall 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 $800,000.00 on April 10, 2023.

From late 2017 through 2018, the customer alleges that the Registered Representative made unsuitable recommendations of risky, illiquid investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Baize (Baize), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baize 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 $500,000.00 on April 13, 2023.

On July 17, 2018 client purchased a $500,000 7 year bond with GWG Holdings. GWG Holdings defaulted on interest payments in February 2022 and filed for Chapter 11 bankruptcy reorganization in April of 2022. GWG has a court approved Joint Chapter 11 Plan with assets in a wind down trust.

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

FINRA BrokerCheck shows a settled customer complaint on May 11, 2023.

Client alleges losses of over $250,000 in January of 2022 due to unauthorized trades, unsuitable recommendations, misrepresentation, failure to supervise by Truist, breach of fiduciary duty and violation of Virginia securities laws with respect to an account held by the claimants at representative’s previous firm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darryl Hall (Hall), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hall 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 $119,976.00 on May 03, 2023.

The clients alleged that recommendations in 2014 to purchase a VA and life insurance were not suitable based on low performance.

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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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