LPL Financial LLC

Broker Christopher Garcia in LPL Financial LLC Firm Has Customer Complaint

December 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Garcia (Garcia), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Garcia 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 $14,705.13 on March 18, 2022.

Brokers are required to adhere to the SEC’s Regulation Best Interest (Reg BI) standard of care under the Securities Exchange Act of 1934 which establishes a ‘best interest’ standard for broker-dealers and associated persons. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened.

There are Recent Customer Complaints with Broker Gilbert Singer in Firm LPL Financial LLC

December 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 18, 2022.

Customer alleged that investment in variable annuity in September 2007 was unsuitable

There are Recent Customer Complaints with Broker Kimberly Parker Hansen in Firm LPL Financial LLC

December 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2022.

Customer alleges the managed account recommended to her was not in her best interests and that the performance.

Broker Beverly Cox in LPL Financial LLC Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Beverly Cox (Cox), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 $44,924.00 on March 29, 2022.

Client alleges she received poor advice from her representative sometime in 2021 related to indirect rollover transactions which created a large tax liability.

Broker Michael Myers in LPL Financial LLC Firm Has Customer Complaint

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Myers (Myers), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Myers 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 $5,000.00 on April 13, 2022.

Customer alleges financial professional’s recommendation resulted in tax liability.

There are Recent Customer Complaints with Broker Vladimir Greben in Firm LPL Financial LLC

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vladimir Greben (Greben), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Greben 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 April 08, 2022.

Claimants allege representative over-concentrated their savings in alternative investments and that representative made alleged misrepresentations concerning the investments. The time period is unknown but believed to be prior to 2015.

Broker Kevin Curry in LPL Financial LLC Firm Has Customer Complaint

November 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Curry (Curry), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Curry 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 $5,000.00 on April 20, 2022.

Customer is dissatisfied with the account performance and stock selection.

There are Recent Customer Complaints with Broker Tony Keena in Firm LPL Financial LLC

November 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 29, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

Broker Matthew Clason in LPL Financial LLC Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 09, 2022.

Claimant alleges the RR recommended an unsuitable Real Estate Investment Trust (REIT) investment.

Broker Richard Maas in LPL Financial LLC Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Richard Maas (Maas), currently associated with LPL Financial LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Maas concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on May 13, 2022.

Statement of claim alleges an investment recommendation was made for the purpose of generating high commissions and fees that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.