LPL Financial Sued By Investor For Unauthorized Trading
Samuel Izaguirre of Pembroke Pines Florida a stockbroker registered with LPL Financial LLC is the subject of a customer initiated investment related arbitration claim in which the customer sought $100,000.00 in damages founded on allegations that (1) Izaguirre did not disclose information about a non-traded real estate investment trust merger and (2) Izaguirre effected the sale of the customer’s real estate security holdings without the customer’s consent. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-02759 (Aug. 7, 2018).
FINRA Public Disclosure additionally reveals that on August 31, 2010, a customer filed an investment related complaint regarding Izaguirre’s conduct where the customer requested $10,949.00 in damages supported by accusations of misrepresentations being made to the customer regarding a mutual fund trade placed in the customer’s account while Izaguirre was associated with Chase Investment Services Corp.
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