LPL Financial LLC

There are Recent Customer Complaints with Broker Michael Maglio in Firm LPL Financial LLC

April 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Maglio (Maglio), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Maglio 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 $5,000.00 on February 14, 2025.

There is a good faith estimate that the requested damages are more than $5000 as the requested resolution is to exchange an annuity worth more than $500,000 without penalties.

Broker Eric Delaney in LPL Financial LLC Firm Has Customer Complaint

April 15, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Eric Delaney (Delaney), 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 Delaney concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint on February 27, 2025.

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

There are Recent Customer Complaints with Broker Robert Ginsberg in Firm LPL Financial LLC

April 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 27, 2025.

Customer alleges that investments made in 2022 were unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Ellen Lau in Firm LPL Financial LLC

April 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Stanley Patrick in Firm LPL Financial LLC

April 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stanley Patrick (Patrick), previously 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 $35,000.00 on March 10, 2025.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker David Jerke in LPL Financial LLC Firm Has Customer Complaint

April 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Jerke (Jerke), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jerke 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 $200,000.00 on March 12, 2025.

POA for client was approached by FA Jerke for an ‘investment opportunity’ that could be lucrative, however he was in need of $200k. POA agreed to lend the funds to FA Jerke and he processed a transfer from client’s LPL account to his personal bank account. Funds were lost to a scammer/fraudster. LPL settled with client/POA to make the client whole.

Broker Stacy Bush in LPL Financial LLC Firm Has Customer Complaint

April 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stacy Bush (Bush), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bush 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 $35,000.00 on March 10, 2025.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Karen Briggs in Firm LPL Financial LLC

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karen Briggs (Briggs), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Briggs 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 $259,000.00 on March 13, 2025.

Customer alleges that an investment made in 2019 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Bryce Hamilton in LPL Financial LLC Firm Has Customer Complaint

April 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryce Hamilton (Hamilton), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hamilton 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 $300,000.00 on July 30, 2024.

Customer alleges representative recommended unsuitable investments in 2021.

There are Recent Customer Complaints with Broker Cain Kobert in Firm LPL Financial LLC

April 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cain Kobert (Kobert), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Kobert recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 19, 2024.

Rendered investment advice, from a location within Florida, without being registered by the Office.