Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rami Sassoon (Sassoon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sassoon 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 $300,000.00 on February 02, 2023.

Claimants allege they were recommended and overconcentrated in unsuitable investments.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker James Couture (Couture) 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 Couture was employed by LPL Financial LLC at the time of the activity.  If you have been a victim of Couture’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on February 06, 2023.

Customer alleges misappropriation of funds between January 2011 and January 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Louis Nemeth (Nemeth), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nemeth 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 06, 2023.

Clients allege an unsuitable and unauthorized investment in a penny stock. Activity occurred on August 5, 2022.

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

FINRA BrokerCheck shows a settled customer complaint on February 06, 2023.

Complaint alleged failure to follow instructions. (5/24/2022-2/6/2023)

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Brian Bates (Bates), 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), Bates’s most recent customer complaint alleges that Bates recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on February 13, 2023.

Claimants allege that their representative recommended unsuitable structured notes for their account. Activity period: November 2021 to September 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ervie Houston (Houston), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Houston 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 $105,000.00 on February 23, 2023.

Client alleges the FP recommended an unsuitable investment strategy. This strategy included high commission, speculative, and illiquid alternative investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shomir Mukherjee (Mukherjee), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mukherjee 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 $99,999.00 on March 06, 2023.

Unsuitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kerri Patrick (Patrick), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patrick 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 $50,000.00 on March 03, 2023.

Client alleges unsuitable and misleading recommendations related to alternative investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Barson (Barson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barson 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 $99,000.00 on March 17, 2023.

The customer alleges breach of fiduciary duty, lack of suitability, misrepresentations and failure to supervise in regards to investments made on behalf of the customer.

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

FINRA BrokerCheck shows a pending customer complaint on March 17, 2023.

Claimants allege representative made unsuitable investment recommendations during the period of January 2018 to June 2021

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