Articles Tagged with LPL Financial LLC

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

FINRA BrokerCheck shows a award / judgment customer complaint on March 14, 2022.

The decision to offer 3.75% on the line of credit instead of 3.25% violated Reg BI and advice within investment strategy that claimant should borrow against the non-purpose loan at 3.75% rather than sell pledged stock (BGCP) which was paying 6% and disabusing claimant of claimant’s idea to liquidate shares to buy Florida home.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael O’meara (O’meara), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that O’meara 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 March 24, 2022.

Claimants allege misrepresentation and omissions made by Respondent regarding a real estate investment trust investment. Activity date 1/1/2016 to 7/19/2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Robinson (Robinson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Robinson 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 $14,406.37 on February 02, 2026.

Customer alleges misrepresentation involving REIT purchase

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Joseph Lauzon (Lauzon) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Lauzon was employed by LPL Financial LLC at the time of the activity.  If you have been a victim of Lauzon’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $250,000.00 on February 11, 2026.

Aallegations of misappropriation and unauthorized disbursements from a client account

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gabriel Swan (Swan), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Swan 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 $180,000.00 on February 25, 2026.

Customer alleges the representative failed to stop the Customer from withdrawing funds from his own accounts that the Customer then invested in an allegedly fraudulent scheme.

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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 4 disclosable events. These events include 4 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 $150,000.00 on February 23, 2026.

Client alleges the advisor misrepresented guaranteed principal and returns on a secured loan related to a real estate deal in February of 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Berg (Berg), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Berg 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 $143,000.00 on February 23, 2026.

Client alleges omission of material facts concerning a variable annuity purchased in February 2007.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christ Mavrakos (Mavrakos), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mavrakos 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 $250,000.00 on February 26, 2026.

Claimants allege their advisor did not make them aware of short positions between 2022 and 2026, and it resulted in financial loss.

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

FINRA BrokerCheck shows a pending customer complaint on February 26, 2026.

The customers submitted a notarized affidavit of forgery alleging that their signatures on a wire request form dated November 21, 2025 were forged and that they did not authorize the associated transfer of funds. The customers further allege that additional account documentation was reused or included in connection with other transactions without their knowledge and that related fund transfers were effected without their authorization.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Uy (Uy), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Uy 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 $750,000.00 on February 26, 2026.

Customers allege misrepresentations regarding unnecessary and improper trades from 2016-2025.

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