Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Keller (Keller), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Keller 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 $297,000.00 on December 15, 2023.

Client alleges that representative misappropriated the funds in her account between July 2012 and May 2016.

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

FINRA BrokerCheck shows a pending customer complaint on February 16, 2024.

This arbitration appears to be a complaint filed by multiple unrelated Claimants against Lincoln relative to the prior purchase of certain private investment funds. I formerly served as the Lincoln representative for one of the  multiple Claimants. The allegations appear to concern Lincoln Financial Advisors’ marketing and due diligence processes. I was never served. I do not appear to be a named Respondent. There is no specific claim for damages against me.

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

FINRA BrokerCheck shows a final customer complaint on December 24, 2024.

Without admitting or denying the findings, Ezrilov consented to the sanction and to the entry of findings that he failed to appear for on-the-record testimony requested by FINRA in connection to its investigation of allegations made on a Form U6 submitted by his member firm. The findings stated that Ezrilov was discharged from his firm for submitting succession plan documents to the firm containing a non-genuine signature.

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

FINRA BrokerCheck shows a final customer complaint on November 07, 2023.

MS. DeTray is alleged to have operated as  a securities dealer without a license by selling securities in Ohio that were not properly registered with the Ohio Department of Commerce.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Long (Long), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Long 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 January 19, 2024.

Claimant alleges that during the time period March 2018 to December 2022, LPL failed to disclose the fees associated with servicing her employer’s 401k account.

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

FINRA BrokerCheck shows a pending customer complaint on January 24, 2024.

Customer alleges that one investment purchased in 2013 was not suitable for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on November 18, 2024.

The customer unsuitable recommendation and poor advice for universal life policy

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Munoz (Munoz), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Munoz 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 $1,000,000.00 on December 27, 2024.

Customer alleges poor performance and unauthorized trading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arthur Taylor (Taylor), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $305,106.82 on December 03, 2024.

Claimants allege that following their father’s death, assets were improperly transferred from an account he held without transfer-on-death (‘tod’) instructions to an account he held with tod instructions and then transferred to claimants pursuant to the tod instructions. Allegation activity dates: april 28, 2011 – january 1, 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Nelson (Nelson), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nelson 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 $160,000.00 on November 21, 2024.

Customer alleges that an investment made was unsuitable for the customer’s investment objectives and risk tolerance. Time frame 2020.

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