Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Mathews (Mathews), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mathews 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 $17,279.44 on August 11, 2022.

Customer alleges misrepresentation with regard to the sale of a contingent interest note on January 26, 2021 by now deceased representative

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Marks (Marks), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marks 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 $100,000.00 on August 22, 2022.

Failure to conduct adequate due diligence; negligent misrepresentation and overconcentration of investment in claimant’s account in connection with their Northstar fixed-rate investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dirk Rabenold (Rabenold), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rabenold 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 August 18, 2022.

In September 2021, the customer directed a $450,000 wire transfer from the customer’s investment account to the customer’s personal bank account. The customer subsequently became a victim of a fraudulent telephone scam where the customer transferred the funds from the customer’s bank account to a third party in a fraudulent investment. The customer now alleges that she did not understand what she was doing at the time and the registered representative should not have honored the customer’s directive to transfer funds from the customer’s investment account to the customer’s personal bank account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Graham Jepsen (Jepsen), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jepsen 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 $35,000.00 on September 13, 2022.

Clients allege options were not properly established causing an increase in the expected captial gains.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryon Frisch (Frisch), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frisch 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 $150,395.00 on October 17, 2022.

The complainant alleges that in 2021, the representative had him move the funds from his two existing variable annuities into two new variable annuities, telling him that the new variable annuities offered the same GMIB benefits as his existing annuities. The complainant alleges that he has since learned that neither of his new AXA variable annuities have GMIB protection, which has caused him financial harm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Kemp (Kemp), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kemp 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 $23,500.00 on October 13, 2022.

Customer’s daughter alleged bond was unsuitable given the maturity date.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alvaro Jiron (Jiron), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jiron 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 August 11, 2025.

Client indicated financial professional misrepresented this product as safe and secure.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Infante (Infante), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Infante 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 $1,926.68 on June 03, 2025.

Customer alleged rep failed to follow instructions to liquidate two accounts and only liquidated one account in 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricky Meyer (Meyer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meyer 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 $8,397.17 on September 02, 2025.

Customer alleges that she was not informed of illiquid nature of REIT at time of purchase.

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

FINRA BrokerCheck shows a pending customer complaint on September 12, 2025.

The client alleges that his advisor “forged” and misrepresented annuity paperwork.

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