Investors apparently complained about securities broker Richard Francis Simonitis Jr. [CRD: 2263459, North Royalton, Ohio], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Simonitis has been registered with LPL Financial LLC since February 26, 2007, as a broker and since February 27, 2007, as a financial advisor. See the following information to […]

Investors might have sustained losses due to securities broker Tammy Tenney Paquette (also known as Tammy G. Tenney) [CRD: 5110668, Tucson, Arizona], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tammy Paquette worked for LPL Financial LLC from April 19, 2012, to the present, and was also registered as a […]

Investors potentially experienced sales practice violations by securities broker William Paul Czaplewski (also known as Bill Czaplewski and Billy Czaplewski) [CRD: 2386057, Monona, Wisconsin], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Czaplewski worked for LPL Financial LLC from October 3, 1994, to the present as a broker and from January […]

Investors who were sold private credit funds by FINRA-registered broker-dealers may have sustained significant losses as redemption restrictions, declining net asset values (NAV), and liquidity problems continue to surface across several major products. Broker-dealers including LPL Financial, Ameriprise Financial, Osaic, and Cetera Financial Group have been among the distribution channels for these products. These funds […]

Investors might have sustained losses due to securities broker David Jon Nastri [CRD: 5178144, Cheshire, Connecticut], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nastri has worked for LPL Financial LLC as a registered broker since October 11, 2011, and he has been registered with LPL Financial LLC as a financial […]

Investors potentially experienced sales practice violations by securities broker Douglas Robert Fisher [CRD: 3196973, Grand Rapids, Michigan], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Fisher worked for LPL Financial LLC from February 23, 2009, to November 25, 2020. Keep reading to learn more about Fisher’s disclosures. LPL Financial Investor Accused […]

Investors potentially incurred losses because of securities broker Nicole Noel Middendorf (also known as Nikki Middendorf, Nicole Vandergriff, and Nikki Vandergriff) [CRD: 3251084, Minneapolis, Minnesota], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Middendorf has been registered with Raymond James Financial Services Inc. since April 28, 2017, and with Raymond James Financial Services […]

Investors potentially experienced sales practice violations by securities broker Gregory Wayne Berg [CRD: 3081088, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gregory Berg worked for LPL Financial LLC from August 23, 2023, to January 5, 2026, and previously worked for Merrill Lynch from July 27, 2005, to August 25, 2023. […]

Investors apparently complained about securities broker Stephen Hans Wagner (also known as Steve Wagner) [CRD: 2193508, Ventura, California], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wagner worked for LPL Financial LLC from January 22, 2016, to January 20, 2026. Read on to find out more about Wagner’s disclosed history. LPL […]