LPL Financial LLC

There are Recent Customer Complaints with Broker Conrad Cook in Firm LPL Financial LLC

January 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Conrad Cook (Cook), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cook 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 $311,200.00 on November 20, 2025.

Claimants allege that the investments held in decedent’s retirement account were not immediately liquidated upon her death and that the investments declined in value prior to liquidation, resulting in a lesser payout to the beneficiaries.

Broker Darryl Ferguson in LPL Financial LLC Firm Has Customer Complaint

December 29, 2025 | by Staff Attorney

Previously financial advisor Darryl Ferguson (Ferguson), previously 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 settled customer complaint with a damage request of $500,000.00 on December 22, 2021.

Claimants allege registered representative recommended unsuitable non-traded REIT investments.

There are Recent Customer Complaints with Broker Todd Sivak in Firm LPL Financial LLC

December 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 22, 2021.

The complainant alleges that beginning on or around March 2019, their registered representative recommended that they invest all their Roth IRA into one mutual fund, which resulted in a 55% loss. The complainant further states their registered representative knew that they did not want to take any unnecessary risks with their investing.

There are Recent Customer Complaints with Broker Timothy Gorsuch in Firm LPL Financial LLC

December 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Gorsuch (Gorsuch), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gorsuch 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 January 05, 2022.

Customer alleges a failure to follow an instruction to purchase mutual fund on July 1, 2019

Broker Bradley Goodbred in LPL Financial LLC Firm Has Customer Complaint

December 28, 2025 | by Staff Attorney

Previously financial advisor Bradley Goodbred (Goodbred), previously 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 settled customer complaint with a damage request of $1,613,981.30 on January 06, 2022.

Customer alleges that representative caused her to execute a document appointing representative as her power of attorney, and that representative allegedly induced customer to invest in a fraudulent, unregistered security. Activity period 2009 to 2020.

Broker Tim Peyton in LPL Financial LLC Firm Has Customer Complaint

December 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tim Peyton (Peyton), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peyton 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 $750,000.00 on January 03, 2022.

The customers allege lack of suitability and failure to conduct proper due diligence as it relates to the purchase of two alternative investment products. They further allege over concentration and the failure to disclose the risk factors of the investment products in question.

There are Recent Customer Complaints with Broker Eugene Garner in Firm LPL Financial LLC

December 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Garner (Garner), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Garner 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 $650,000.00 on January 11, 2022.

Omission/misrepresentation in connection with hold recommendation of Energy 11, Energy 12 and SOAEX.

Broker Roger Sims in LPL Financial LLC Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

Previously financial advisor Roger Sims (Sims), previously 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 settled customer complaint on January 18, 2022.

Claimants allege that between May 2014 and November 2015 representative made unsuitable investments in REITs.

Broker Jonathan Cummings in LPL Financial LLC Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Cummings (Cummings), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cummings 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 $50,000.00 on January 21, 2022.

Claimant alleges misrepresentation and omissions of material fact, negligence and the sale of an unsuitable investment relative to the purchase of a real estate investment trust. Time period is 10/2014 through 12/2020.

There are Recent Customer Complaints with Broker Robert Lasher in Firm LPL Financial LLC

December 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Lasher (Lasher), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lasher 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 January 31, 2022.

Customer alleges that an investment made in June 2014 was inappropriate for the customer’s investment objectives and risk tolerance, and that representative made alleged misrepresentations concerning the investment.