LPL Financial LLC

There are Recent Customer Complaints with Broker Daniel Hamlet in Firm LPL Financial LLC

February 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Hamlet (Hamlet), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hamlet 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 $547,000.00 on December 24, 2024.

Client alleges that his signature was forged on December 5, 2023, placing him in a fixed annuity that he did not want.

Broker Deborah Anderson in LPL Financial LLC Firm Has Customer Complaint

February 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Deborah Anderson (Anderson), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 December 24, 2024.

The customer alleges that in December 2018, the Registered Representative recommended and misrepresented an unsuitable, high-risk, illiquid investment and breached her fiduciary duty.

Broker Daniel Countiss in LPL Financial LLC Firm Has Customer Complaint

February 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Countiss (Countiss), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Countiss 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 $35,000.00 on December 31, 2024.

The client’s attorney alleges their advisor assured them that moving funds from a qualified account would result in ‘minor’ tax implications. Further, attorney alleges the advisor improperly handled the distributions which resulted in excess tax and loss of earnings.

Broker Jeffrey Furniss in LPL Financial LLC Firm Has Customer Complaint

February 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Furniss (Furniss), currently associated with LPL Financial LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Furniss 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 $100,000.00 on December 30, 2024.

Claimants allege the RR recommended an unsuitable Oil & Gas investment

Broker Christopher Cavallaro in LPL Financial LLC Firm Has Customer Complaint

February 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Cavallaro (Cavallaro), currently associated with LPL Financial LLC, has at least 8 disclosable events. These events include 8 customer complaints, alleging that Cavallaro 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 $40,000.00 on December 30, 2024.

CLAIMANTS ALLEGE THE RR RECOMMENDED AN UNSUITABLE OIL & GAS INVESTMENT

Broker John Ulwick in LPL Financial LLC Firm Has Customer Complaint

February 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Ulwick (Ulwick), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ulwick 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 $70,000.00 on December 30, 2024.

CLAIMANT ALLEGES THE RR RECOMMENDED AN UNSUITABLE OIL & GAS INVESTMENT

There are Recent Customer Complaints with Broker J craig Mcilroy in Firm LPL Financial LLC

February 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker J craig Mcilroy (Mcilroy), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mcilroy 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 $100,000.00 on December 30, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

Broker Steven Blanchard in LPL Financial LLC Firm Has Customer Complaint

February 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on January 06, 2025.

Respondent Blanchard 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 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.