LPL Financial LLC

Broker Evan Adelglass in LPL Financial LLC Firm Has Customer Complaint

March 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Adelglass (Adelglass), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Adelglass 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 $125,000.00 on February 21, 2025.

Customer alleges that an investments made in 2021 were unsuitable for the customer’s investment objectives and risk tolerance.

Broker David Jerke in LPL Financial LLC Firm Has Customer Complaint

March 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on March 03, 2025.

Without admitting or denying the findings, Jerke consented to the sanction and to the entry of findings that he refused to provide documents and information as requested by FINRA in connection to its investigation of allegations made by his member firm on a Form U5 filling. The findings stated that Jerke was terminated from his firm because he had solicitated a loan from a customer without notice to and approval from his firm.

Broker Robert Tracy in LPL Financial LLC Firm Has Customer Complaint

March 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on March 10, 2025.

Respondent Tracy failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker Angela Zachman in LPL Financial LLC Firm Has Customer Complaint

March 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Zachman (Zachman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zachman 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 $40,000.00 on September 05, 2024.

Claimant alleges representative recommended unsuitable investments during the time period December 2014 – May 2022.

There are Recent Customer Complaints with Broker Thomas Rinek in Firm LPL Financial LLC

March 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on September 05, 2024.

Without admitting or denying the findings, Rinek consented to the sanctions and to the entry of findings that he improperly sent nonpublic personal information of his member firms’ customers to his personal email address without the customers’ knowledge or consent and in contravention of his firm’s procedures. The findings stated that the information included customer names, social security and tax identification numbers, dates of birth, securities account numbers, securities positions, physical addresses, and phone numbers. Rinek improperly retained this information after his termination from his member firm, while associated with another firm, but has since deleted it.

Broker Christopher Robinson in LPL Financial LLC Firm Has Customer Complaint

March 20, 2025 | by Staff Attorney

Currently financial advisor Christopher Robinson (Robinson), currently employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. 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 September 16, 2024.

Claimants allege that between 2018 and 2024, representative made unsuitable investments in REITs.

Broker Bradley Vick in LPL Financial LLC Firm Has Customer Complaint

March 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 13, 2024.

Customer alleges that the representative inaccurately communicated the interest rate of a fixed annuity the customer purchased in June 2022 with funds from a 401k rollover.

Broker Lawrence Greenfield in LPL Financial LLC Firm Has Customer Complaint

March 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Greenfield (Greenfield), previously associated with LPL Financial LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Greenfield 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 $100,000.01 on September 18, 2024.

Clients allege registered representative recommended an unsuitable investment.

Broker Richard Ceffalio in LPL Financial LLC Firm Has Customer Complaint

March 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Ceffalio (Ceffalio), previously associated with LPL Financial LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Ceffalio recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 23, 2024.

Customers allege that between 2012 and 2023 Ceffalio managed their accounts in an unsuitable manner and misrepresented the total value of claimants’ accounts.

There are Recent Customer Complaints with Broker Judith Dolle in Firm LPL Financial LLC

March 18, 2025 | by Staff Attorney

Previously financial advisor Judith Dolle (Dolle), previously 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 pending customer complaint with a damage request of $750,000.00 on September 19, 2024.

Claimants allege representative made an unsuitable investment in a non-traded REIT. Time period is September 2015. (please do not provide an end date)