Investors might have sustained losses due to securities broker Karry Jean Maciak (also known as Karoline Maciak) [CRD: 4332863, Walnut Creek, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Maciak has worked for LPL Financial LLC since October 2, 2013, operating out of several California offices including Walnut Creek, Concord, Albany, Napa, San Diego, and Beverly Hills. Check out the following information about the allegations disclosed in Karry Maciak’s FINRA record.
Particularly, a client of LPL Financial LLC contested Karry Maciak’s sales practices, according to a complaint dated December 27, 2024. Allegedly, Maciak made misrepresentations. Allegedly, Maciak allegedly caused the client to sustain damages through investments in real estate securities. Therefore, the client sought compensation from LPL Financial LLC or Maciak in the amount of over $5,000 in this matter. However, the firm denied this complaint.
Additionally, an LPL Financial LLC client filed FINRA Arbitration No. 24-00611 about Karry Maciak. Supposedly, Maciak made unsuitable recommendations concerning real estate securities, given the client’s risk tolerance and objectives. As a result, on May 6, 2025, LPL Financial LLC settled this matter by paying the client $6,000.00 in damages.
Also, a client of LPL Financial LLC contested Karry Maciak’s sales practices by filing FINRA Arbitration No. 23-02573. Allegedly, Maciak made unsuitable recommendations relating to real estate securities. Consequently, LPL Financial LLC opted to settle the matter on May 24, 2024, by compensating the client in the amount of $14,500.00.
Specifically, on September 21, 2023, a Mechanics Investment Services client filed a complaint about Karry Maciak. Supposedly, Maciak made unsuitable recommendations and misrepresentations. Because of this, the client allegedly incurred damages through investing in real estate securities. For this reason, the client requested $25,000.00 in compensation from Mechanics Investment Services or Maciak.
Are you concerned regarding investments you made with Karry Maciak? You can reach out to Soreide Law Group online or at (888) 760-6552 and speak to a securities lawyer concerning a potential recovery. Soreide Law Group has over a decade of experience recovering losses for clients located throughout the country. The law firm also takes cases on a contingency fee basis and advances all costs. Maciak and brokerage firms Maciak worked for deny accusations of sales practice violations.
FINRA fined securities broker Brenton Edward Ditto [CRD: 4779103, Elizabethtown, Kentucky], and an investor complained about him, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ditto worked for LPL Financial LLC from October 30, 2014, to August 28, 2025. See the following information to find out more about Ditto’s disclosures and […]
Investors potentially experienced sales practice violations due to securities broker David Charles Heide (also known as Dave Heide) [CRD: 2112032, Palos Heights, Illinois], according to publicly available information on FINRA BrokerCheck. Evidently, David Heide has been registered with RBC Capital Markets LLC since November 1, 2016, where he works as both a broker and investment […]
PHILLIP CURTIS ANDERSON (PHILLIP C ANDERSON) was registered with KINGSWOOD CAPITAL PARTNERS LLC of Roseville, California, from 06/15/2018 - 06/30/2023. According to the FINRA report, on 5/13/2025, PHILLIP C ANDERSON was fined $10,000.00, ordered to pay disgorgement of $8,280.00, and suspended in all capacities for five months by the Financial Industry Regulatory Authority (FINRA). Without […]
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