Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Farley (Farley), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Farley 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 $42,000.00 on September 24, 2020.

Claimant alleges that one of the investments purchased for his portfolio in 2013 was unsuitable because the price of the investment allegedly declined in June of 2020.  activity period:  4/2013 to 7/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Warner (Warner), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Warner 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 $65,000.00 on October 13, 2020.

The customer alleged that the representative misrepresented the speculative nature of an alternative investment and made the unsuitable recommendation in pursuit of higher commissions.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Yelverton (Yelverton), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Yelverton 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 $30,000.00 on October 19, 2020.

Customer alleges unsuitable alternative investment recommendation. Activity period:  12/2014 to 9/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Roybal (Roybal), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roybal 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 $21,887.48 on October 23, 2020.

Client alleges rep failed to follow instructions to invest assets into managed account , resulting in monetary loss.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Bradley (Bradley), currently associated with LPL Financial LLC / Visions Analysis LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bradley 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 $200,000.00 on October 26, 2020.

RECOMMENDED INVESTMENTS INCONSISTENT WITH INVESTOR’S ‘GROWTH AND INCOME’ OBJECTIVE. ACTIVITY PERIOD:  MARCH 2014 TO PRESENT.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Biedebach (Biedebach), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Biedebach 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 $4,846.96 on October 30, 2020.

Failure to keep an account in cash allegedly against the client’s instructions. The time period is 04/2020 – 09/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Ly (Ly), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ly 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 October 28, 2020.

Plaintiffs allege that certain alternative investments they purchased at a different broker-dealer approximately 7 years ago were unsuitable because they were allegedly not federally insured or low risk, as allegedly represented to plaintiffs. Plaintiffs contend that these allegations also constitute elder abuse. Activity period:  12/2013-9/2020.

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

FINRA BrokerCheck shows a settled customer complaint on November 10, 2020.

Custoer alleges misrepresentation of potential tax liability associated with investment. Activity period:  2/27/17 to 11/20/20.

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $4,000,000.00 on November 13, 2020.

Customer alleges that representative engaged in fraudulent conduct including misappropriation by forgery and/or alteration of documents. Activity period – 9/2011 to 12/2012.

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

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

Customers allege the representative made recommendations that did not meet the clients’ needs and allegedly caused losses.

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295 Madison Ave #705
New York, NY 10017
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#100
Chicago, IL 60613
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#1
Montclair, NJ 07042
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