LPL Financial LLC

There are Recent Customer Complaints with Broker Cynthia Nagel in Firm LPL Financial LLC

May 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Nagel (Nagel), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nagel 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 May 26, 2020.

Client alleges that there were delays in processing his 1035 variable annuity exchange which caused him to incur market losses. Alleged activity dates: 1/29/20-5/26/20

There are Recent Customer Complaints with Broker Thomas Hunt in Firm LPL Financial LLC

May 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 21, 2020.

Power of Attorney for client complained that the securities in the client’s account were not suitable. (9/8/2016-5/21/2020)

There are Recent Customer Complaints with Broker Daniel Boyer in Firm LPL Financial LLC

May 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Boyer (Boyer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Boyer 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 $19,500.00 on May 22, 2020.

The Firm released payment through ACH without client’s consent to pay for unauthorized credit card charges made by the client’s caregiver.

Broker Tracy Randle in LPL Financial LLC Firm Has Customer Complaint

May 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 05, 2020.

Client complained the financial advisor liquidated certain assets without her authorization. (10/28/2019)

Broker Curtis Howard in LPL Financial LLC Firm Has Customer Complaint

May 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curtis Howard (Howard), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Howard 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 $5,015.00 on June 04, 2020.

Customer alleges failure to follow instructions. Activity period: 2/12/20 to 6/4/20.

There are Recent Customer Complaints with Broker Katherine Petrelli in Firm LPL Financial LLC

May 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 11, 2020.

Customer alleged that he instructed on June 3, 2020 that his account be sold if its value dropped to $487,500, and that these instructions were not followed. Customer sought compensation of between $7,000 and $16,980.93 in losses after account declined further in value. Activity period: 6/3/20 to 6/11/20.

Broker Linda Kjerulf in LPL Financial LLC Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 13, 2020.

Client alleges rr sold off a portion of his portfolio on March 18, 2020 and March 19, 2020 without his knowledge or consent

There are Recent Customer Complaints with Broker Ian Baker in Firm LPL Financial LLC

May 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Baker (Baker), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baker 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 $10,966.86 on June 16, 2020.

Claimant alleges that her Financial Representative made two unsuitable investments in a managed account, which were ultimately sold at a loss to claimant. Activity period: 6/12/2018-5/29/2019

There are Recent Customer Complaints with Broker Frederick Guist in Firm LPL Financial LLC

April 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Guist (Guist), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guist 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 July 01, 2020.

Claimant alleges that he suffered losses in connection with three alternative investments that were purchased for claimant at another broker-dealer and not lpl. Claimant contends that the investments declined in value and seeks damages under breach of fiduciary duty and negligence theories of liability. Activity period: 4/2007 – 4/2020.

Broker Aaron Gore in LPL Financial LLC Firm Has Customer Complaint

April 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Gore (Gore), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gore 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 July 02, 2020.

Customer alleges that a business development company investment sold to him in 2014 was an unsuitable, high risk, speculative, high commission investment, and he suffered damages of at least $20,000.