Articles Tagged with LPL Financial LLC

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

FINRA BrokerCheck shows a pending customer complaint on April 29, 2026.

Customer alleges that an investment made in 2014 was unsuitable for the customer\\u2019s investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Graham (Graham), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Graham 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 $40,000.00 on May 08, 2026.

Client alleges the advisor misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.

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

FINRA BrokerCheck shows a pending customer complaint on May 07, 2026.

Customer alleges capital gains taxes were not discussed as part of investment rationale.

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

FINRA BrokerCheck shows a pending customer complaint on April 28, 2026.

Statement of Claims alleges unsuitable investment recommendations given the client’s stated investment objectives.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Notarfrancesco (Notarfrancesco), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Notarfrancesco 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 $27,767.78 on April 29, 2026.

Customer alleges that interest rate on variable annuity was guaranteed.

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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
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