Articles Tagged with LPL Financial LLC

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Izaguirre (Izaguirre), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Izaguirre 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 $600,000.00 on July 07, 2020.

Claimant alleges losses in connection with her investments in alternative investments and an annuity. Claimant alleges she was misled about the details of the investments and therefore, incurred damages as a result of her purchases. Activity period:  5/8/14 to present.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Khary Miller (Miller), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $21,420.00 on July 08, 2020.

Customer purhased reit in 2014 that has gone down in value and alleges representative told her at time of purchase that she would receive the investment principal plus all dividends at end of five years.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alphonse Arminio (Arminio), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arminio 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 $13,922.00 on July 14, 2020.

Client has made allegations that the representative misstated investment risk and objectives.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Jr. Canuso (Canuso), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Canuso 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 $110,000.00 on July 16, 2020.

Claimant alleges unsuitability in connection with one alternative investment purchase made seven years ago, and requests rescission and other compensatory damages. Activity period:  5/2013 – 6/2020

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Dibrino (Dibrino), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dibrino 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 $125,000.00 on July 15, 2020.

Claimants allege their former representatives recommended alternative investments that were not suitable for them. Claimants generally allege misrepresentation, unsuitable recommendations, breach fiduciary duty, failure to supervise, breach of contract and negligence.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on July 22, 2020.

Customer alleges that in April 2013 through February 2014 representative made investment recommendations in non-traded real estate investment trusts and other high risk investments unsuitable for claimant’s investment objectives.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Junko Nagai (Nagai), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nagai 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 July 22, 2020.

Client alleges representative did not liquidate account as directed in December 2019.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Wilson (Wilson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wilson 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 $300,000.00 on July 23, 2020.

In his written complaint letter dated July 23, 2020, the customer claims that David Wilson provided him with false information in order to induce him to purchase a variable annuity in 2014.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dominick Greco (Greco), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Greco 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 22, 2020.

Claimant alleges that she desired to purchase safe investments, but instead was placed in Northstar Real Estate Investment II and FS Investment Corp. Claimant contends that those investments were unsuitable and that she suffered losses “approaching $100,000” because the value of the subject investments allegedly had declined. Activity period 1/2015 – 7/2020.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on July 29, 2020.

The the clients allege the investments purchased between 2014-2015 were unsuitable and misrepresented by the representative. The clients also allege the firm failed to supervise the actions of the representative and failed to preform adequate due diligence

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design