Samuel Izaguirre (CRD #: 4835113), a registered broker and an investment adviser at LPL Financial LLC, is facing an allegation that he made unsuitable investment recommendations, according to his BrokerCheck record, accessed on August 26, 2020. Investors should also be aware of the settled disputes in Mr. Izaguirre’s record.
On July 7, 2020, a client alleged that Mr. Izaguirre made unsuitable investment recommendations — namely in alternative investments and an annuity. Client further alleges that she was misled about the details of the of the investments. The client is seeking $600,000; the dispute is pending.
On August 19, 2019, a client alleged that Samuel Izaguirre breached his contract and fiduciary duty to his client and violated FINRA rules. The client further alleges misrepresentation and failure to supervise. The client sought $93,000 in damages; the dispute was settled for $39,000.
On June 24, 2010, a client alleged that Mr. Izaguirre represented a mutual fund investment. The client sought $10,949 in damages; the settlement amount was not specified. In the Broker Comment section of the record, Mr. Izaguirre states, “Trade was cancelled.”
Samuel Izaguirre has passed the Series 66 Uniform Combined State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, and the Series 6 Investment Company Products/ Variable Contracts Representative Examination. He is a registered broker in Connecticut, Florida, Maryland, Mississippi, North Carolina, Pennsylvania, Texas, and Virginia. He is a registered investment adviser in Florida.
Samuel Izaguirre has also worked at the following firms:
- Independent Financial Partners (CRD #: 125112)
- Chase Investment Services Corp (CRD #: 25574)
- Wamu Investments, Inc. (CRD #: 599)
If Samuel Izaguirre was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys at Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for your free case consultation with a securities attorney.