LPL Financial Investor Complaint Information

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Investors wishing to file complaints against LPL Financial can do so before FINRA. LPL Financial LLC is a broker-dealer firm with its primary offices located in South Carolina. It is registered with the SEC and FINRA (Financial Industry Regulatory Authority), and has licenses in 53 states and U.S. territories. Its CRD Number (Central Registration Depository […]

Mazi Monshi Embroiled in $3.9 Million Dispute with LPL Client

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Mazi Monshi (CRD #: 2629721), a broker registered with IFP Securities, has a new disclosure on his BrokerCheck record, accessed on November 3, 2021. For more information regarding his previous investor disputes, keep reading. Investor Alleges REITs and BDCs were Unsuitable On September 9, 2020, clients alleged that Mazi Monshi recommended unsuitable investments in a […]

Pending Complaints Against Cetera Broker Alexander Arango

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Financial Industry Regulatory Authority (FINRA) records accessed on October 19, 2021 show that Florida-based Cetera Investment Services broker/adviser Alexander Arango has received, resolved or pending customer disputes. Investors with complaints about Mr. Arango (CRD# 6405666) are encouraged to call MDF Law at 800-767-8040 to discuss their rights. Customer Files Complaint Related to Structured Notes According […]