LPL Financial LLC

There are Recent Customer Complaints with Broker William Tunink in Firm LPL Financial LLC

October 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Tunink (Tunink), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tunink 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 $135,500.00 on August 01, 2025.

Customer lent $140,000 which had not been paid back.

There are Recent Customer Complaints with Broker Earl Newsome in Firm LPL Financial LLC

October 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Earl Newsome (Newsome), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Newsome 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 $198,000.00 on August 04, 2025.

The customers allege that their investment in two (2) indexed universal life insurance policies in 2016 was poorly designed and unsuitable for their financial circumstances.

Broker Jordana Wojnowski in LPL Financial LLC Firm Has Customer Complaint

October 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 15, 2025.

Customer alleges unauthorized sales

There are Recent Customer Complaints with Broker Adam Lunceford in Firm LPL Financial LLC

October 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Lunceford (Lunceford), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lunceford 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 $140,000.00 on August 21, 2025.

Customer alleges that an investment made in July of 2013 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker William Song in LPL Financial LLC Firm Has Customer Complaint

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Song (Song), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Song 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 $459,999.00 on September 03, 2025.

THE CLIENT ALLEGES THAT HER ADVISOR, WITHOUT AUTHORIZATION, SIGNED ANNUITY PURCHASE PAPERWORK. ADDITIONALLY, THE CLIENT ALLEGES HER ADVISOR BORROWED $6,000. ALLEGATION PERIOD: 8/16/23 – 8/22/25

Broker David Paradise in LPL Financial LLC Firm Has Customer Complaint

October 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 23, 2022.

5/14/21 – 5/14/21

Broker Benjamin Fordham in LPL Financial LLC Firm Has Customer Complaint

October 4, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Benjamin Fordham (Fordham), currently employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Fordham’s most recent customer complaint alleges that Fordham recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on November 07, 2022.

Claimants allege unsuitable recommendations of structured products. Activity period February 2015 to November 2022.

Broker Nicholas Larsen in LPL Financial LLC Firm Has Customer Complaint

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Larsen (Larsen), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Larsen 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 $15,342.00 on November 15, 2022.

The clients submitted a complaint regarding the recommendation to purchase a HICOX mutual fund by a former CFS representative in February of 2021, which they subsequently sold in November of 2022. The clients allege that their former representative did not properly explain this mutual fund to them, insofar as they understood this mutual fund to be a conservative investment that would protect their principal. The clients have requested compensation for the losses they incurred upon selling their mutual fund investment.

Broker David Collins in LPL Financial LLC Firm Has Customer Complaint

October 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Collins (Collins), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Collins 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 $15,000.00 on November 21, 2022.

Customer alleges negligence, unsuitable recommendations, negligent supervision, breach of contract and fiduciary duty in regards to an investment in a high yield corporate bond.

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

October 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 28, 2022.

Customer alleged failure to follow instructions in advisory account. (3/18/20-1/11/21)