Articles Tagged with LPL Financial LLC

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Jawor (Jawor), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jawor 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 $58,000.00 on February 01, 2021.

Claimant alleges that purchases of two alternative investments for customer’s portfolio made 7 years ago were unsuitable. Activity period:  6/2013 to 2/2021.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Chiaro (Chiaro), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chiaro 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 $171,000.00 on February 05, 2021.

Customer alleges that broker did not execute trades in customer’s account at the time he said he would, causing losses  activity period 1/1/2020 to 5/31/2020

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Parrinello (Parrinello), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Parrinello 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 $13,887.71 on February 15, 2021.

The customer alleges misrepresentation of the risk factors and sales charge in regards to the purchase of a mutual fund.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on February 10, 2021.

Customer alleges that she did not authorize the sale of apple shares on April 2, 2020, and that other investments were unsuitable. Customer seeks return of mismanaged funds. Activity dates:  4/2/20 to 1/18/21.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Peeler (Peeler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peeler 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 $40,000.00 on May 16, 2025.

Customer verbally alleged misrepresentation of annuity feature 8/15/2024-4/9/2025

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Mccain (Mccain), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccain 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 $2,000,000.00 on December 16, 2025.

Customer alleges that the representative failed to provide information and requested statements for her account(s).

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jill Singer (Singer), currently 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 pending customer complaint with a damage request of $16,942.00 on December 28, 2025.

Customer alleges that not all terms of annuity were properly disclosed.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Shepherd (Shepherd), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shepherd 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 $1,400,000.00 on January 05, 2026.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an unsuitable securities investment for the customer’s investment objectives between March 2022 through November 2022

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on January 02, 2026.

Customers allege misrepresentations and failure to exercise reasonable care regarding indexed universal life insurance policy in late 2020 or early 2021.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Shepherd (Shepherd), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shepherd 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 $1,400,000.00 on January 05, 2026.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an unsuitable securities investment for the customer’s investment objectives between March 2022 through November 2022

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design