LPL Financial LLC

Broker Curtis Krueger in LPL Financial LLC Firm Has Customer Complaint

December 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 08, 2022.

Customer alleged unsuitable recommendations.

Broker Wayne Trahms in LPL Financial LLC Firm Has Customer Complaint

December 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Trahms (Trahms), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Trahms 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 $25,327.00 on February 01, 2022.

On 2/1/2022 client asked that Gazprom stock be sold. The sale was not completed. On 2/22/2022 the client learned that the stock had not been sold and the price of Gazprom dropped. The representative wanted to see if the price of Gazprom came back. On 2/28/2022 the price of Gazprom dropped again. The client was very upset. Shortly after that date, Gazprom stock was removed from client’s account by federal government due to Russian invasion of Ukraine.

There are Recent Customer Complaints with Broker David Lademan in Firm LPL Financial LLC

December 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lademan (Lademan), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lademan 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 $500,000.00 on February 14, 2022.

Breach of Fiduciary Duty, unsuitible investments, negligent supervion, breach of contract

Broker Jonathan White in LPL Financial LLC Firm Has Customer Complaint

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan White (White), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that White 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 $178,909.16 on February 22, 2022.

Claimant alleges that her advisor sold her an unsuitable portfolio of mutual funds in her advisory account. Time period 3/3/2021 to 3/14/2022.

Broker David Crossan in LPL Financial LLC Firm Has Customer Complaint

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Crossan (Crossan), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crossan 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 $50,000.00 on February 17, 2022.

Claimant alleges that she was sold a series of annuities, where the income was used to fund a whole life insurance policy and that this investment strategy was clearly entered for purposes of commissions. Claimant also alleges that Wells Fargo’s actions constitute a breach of fiduciary duty, obtaining excessive commissions in an unsuitable whole life insurance recommendation which constitutes gross negligence.

Broker Brad Bakken in LPL Financial LLC Firm Has Customer Complaint

December 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 24, 2022.

Claimant alleges unsuitable investment recommendations which resulted in losses.

There are Recent Customer Complaints with Broker Bruce (brett) Emmeluth in Firm LPL Financial LLC

December 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce (brett) Emmeluth (Emmeluth), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Emmeluth 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 March 07, 2022.

The claimant seeks damages in this arbitration from First Financial Equity Corporation based on unsuitable investments advice given by Bruce Palmer Emmeluth.

There are Recent Customer Complaints with Broker Kenneth Speight in Firm LPL Financial LLC

December 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Speight (Speight), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Speight 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 $30,300.00 on March 10, 2022.

Customer alleges that he was misled when he purchased a Variable Universal Life Insurance policy in April 2019

There are Recent Customer Complaints with Broker Ronald Weatherly in Firm LPL Financial LLC

December 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Weatherly (Weatherly), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weatherly 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 $157,000.00 on March 11, 2022.

Upon the death of a joint owner the annuity contract was liquidated and distributed to the named beneficiaries. [REDACTED] contends he was the surviving joint owner and should have retained control of the annuity assets. \<char_lb_r>\, \<char_lb_r>\, Contract opened January 2017. Joint owner passed away in early 2021. Surviving joint owner called asking about contract balance and beneficiary listing 2/8/2021 and 2/9/2021.

There are Recent Customer Complaints with Broker Nicholas Photiadis in Firm LPL Financial LLC

December 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Photiadis (Photiadis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Photiadis 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 $99,999.99 on March 09, 2022.

Claimant alleges that his beneficial share of funds from a friend’s account were less than they should have been due to representative’s recommendation that his friend invest in alternative investments which were allegedly unsuitable for the friend’s investment objectives. Activity period 2011-2019.