Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Earl Newsome (Newsome), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Newsome 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 $499,000.00 on January 30, 2026.

The customers allege that their investment in two (2) indexed universal life insurance policies in 2016 was poorly designed and unsuitable for their financial circumstances.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Joseph Lauzon (Lauzon) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Lauzon was employed by LPL Financial LLC at the time of the activity.  If you have been a victim of Lauzon’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $165,000.00 on February 04, 2026.

Allegations of misappropriation and unauthorized disbursements from a client account

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Berg (Berg), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Berg 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 $143,000.00 on February 17, 2026.

Client alleges omission of material facts concerning a variable annuity purchased in February 2007.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Toni Iannarelli (Iannarelli), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Iannarelli 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 $101,000.00 on February 13, 2026.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an unsuitable securities investment for the customer’s investment objectives between February and March of 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Baumgold (Baumgold), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baumgold 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 $591,000.00 on February 23, 2026.

Client alleges advisor failed to disclose asset liquidation would result in a taxable event.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melissa Dixon (Dixon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dixon 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 $591,000.00 on February 23, 2026.

Client alleges advisor failed to disclose asset liquidation would result in a taxable event.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Latta (Latta), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Latta 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 $443,582.65 on February 19, 2026.

Claimant alleges improper distribution of half of IRA assets to beneficiary upon death of client in September of 2025. Assets were distributed to two named beneficiaries by the custodian in September of 2025. Claimant alleges client intended to update beneficiaries to a single trust beneficiary for claimant’s benefit prior to death and submitted estate and trust documents evidencing that intent in 2022 and 2023, as well as made inquiries in 2025. Mr. Latta was the client’s financial advisor during the period in question. Claimant was client’s wife and was not a client of Mr. Latta’s.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Graham (Graham), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Graham 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 $145,000.00 on February 18, 2026.

Client alleges the advisor misrepresented guaranteed principal and returns on a secured loan related to a real estate deal in February of 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Tunink (Tunink), previously associated with LPL Financial LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Tunink 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 $41,000.00 on February 24, 2026.

Advisor borrowed funds from customer for investment opportunity away from the Firm

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Thorne (Thorne), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thorne 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 $6,000.00 on February 24, 2026.

The client alleges the advisor failed to follow instructions in investing funds and caused delays in transferring the clients funds out of LPL. In addition, the client incorrectly alleges that the advisor failed to return advisory fees as as agreed.9/1/24-2/16/26

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