Articles Tagged with LPL Financial LLC

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customers allege that investments made in 2014 were unsuitable for the customers’ investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that investments made during the time period 2014-2016 were unsuitable for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

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

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

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

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

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

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that investments made in 2012-2014 were unsuitable for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

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

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customers allege that an investment made in 2014 was unsuitable for the customers’ investment objectives and risk tolerance.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyson Allred (Allred), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Allred 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 $1,529,600.00 on May 05, 2024.

Customers allege rep made specific assurances that the investments chosen for the customers protected principal and a guaranteed return of 3.25% after two years.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christian Johnston (Johnston), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnston 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 $225,000.00 on May 06, 2024.

Customers allege that investments made in or around 2014 were unsuitable for the customers’ investment objectives and risk tolerance.

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