Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Dursi (Dursi), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dursi 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 $20,000.00  on April 07, 2020.

ON OCTOBER 11, 2019, CHRIS DURSI MET WITH THE CLIENT TO PURCHASE AN INDEX ANNUITY THROUGH PEOPLE’S SECURITIES, INC. (‘PSI’). IN CONNECTION WITH THE PURCHASE OF THE ANNUITY, THE CLIENT SOLD SHARES OF STOCK HELD AT ANOTHER BROKER-DEALER UNAFFILIATED WITH PSI. THE CLIENT ALLEGED THAT MR. DURSI DID NOT INFORM AND ADVISE HER OF CERTAIN TAX LIABILITIES INCURRED FROM SELLING THE STOCK.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Wagner (Wagner), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wagner 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 $10,000.00  on April 14, 2020.

Client alleges that advisor’s actions caused a delay in settling his deceased father’s acounts. Client alleges that the delay caused him to lose $10,000.00 due to a decrease in account values and the cost incurred in hiring an attorney. Alleged activity dates 2/13/2020 to 4/14/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Shepherd (Shepherd), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Shepherd 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 $1,400,000.00  on February 20, 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 March 2022 through November 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricardo Dacosta (Dacosta), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dacosta 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 $45,189.00  on May 01, 2026.

In 2026, Advisor paid client $44,500 in two separate payments to resolve complaint alleging unsuitable transactions in retirement account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Zeitler (Zeitler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zeitler 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 $556,537.47  on May 12, 2026.

Claimant alleges that representative encouraged her to advance funds to her family members for the purchase of land and house-building on the land knowing that she was not on the title to the land. Claimant states that her claim is not related to investment/securities-related advice.

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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 2 disclosable events. These events include 2 customer complaints, 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 $275,000.00  on June 08, 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 Richard Ceffalio (Ceffalio), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, 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 with a damage request of $1,055,486.74  on May 20, 2026.

Customers allege the registered representative did not act in the best interest of the retail customer by recommending an unsuitable securities investment for the customer\\u2019s investment objectives in 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Rossi (Rossi), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rossi 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 $5,000.00  on May 27, 2026.

\, CUSTOMER ALLEGATIONS SURROUNDING REPRESENTATIVE’S FAILURE TO FOLLOW CUSTOMER INSTRUCTIONS RESULTING IN CUSTOMER BEING OVER CHARGED IN CUSTOMER’S ADVISORY ACCOUNTS. \,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Buddy Mason (Mason), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mason 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 May 26, 2026.

Advisor presented investment opportunity away from the Firm which resulted in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Burton Apfelbaum (Apfelbaum), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Apfelbaum 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 April 03, 2020.

Customer alleges a failure to follow instructions to move accounts to cash. Activity period:  2/27/20 to 4/3/20.

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