Haselkorn & Thibaut has opened an **investigation into Rudy Anguiano, a financial advisor currently registered with Alexander Capital in Red Bank, New Jersey**. If you are an investor currently working with or who has previously worked with Rudy Anguiano, understanding his background and the nature of allegations against him can help you make informed decisions regarding your finances. This report is designed to provide detailed, current, and actionable insights to investors seeking clarity or considering next steps.
**Background: Who is Rudy Anguiano?**
Rudy Anguiano (**CRD# 5188950**) possesses **over 18 years of experience in the securities industry**. Presently, he is registered as both a broker and investment advisor with **Alexander Capital** (d/b/a Anguiano Capital Partners) in Red Bank, New Jersey. Throughout his career, he has worked at a number of major firms, including:
– **LPL Financial** (2017–2025)
– Ameriprise Financial Services
– Waddell & Reed
– Wells Fargo Advisors
– US Bancorp Investments
– WaMu Investments
He is currently **licensed in California** and has successfully completed several key securities industry exams, such as the **SIE, Series 7, Series 6, Series 63, and Series 66**.
**Why Did LPL Financial Terminate Rudy Anguiano?**
In November 2025, LPL Financial terminated Rudy Anguiano for allegedly **participating in an outside business activity with prior notice and approval, and for participating in and directing clients to private investments**. This action stemmed from potential violations of **FINRA Rule 3280**, which limits participating in private securities transactions—also known as “selling away”—to certain well-defined conditions and with clear written notice to the firm.
**Key Takeaways on LPL Financial Termination:**
– **Private securities transactions** must adhere to specific firm policies and regulatory procedures.
– **Unauthorized outside business activities** and private investment direction can not only result in termination, but also potential regulatory action—even if not presently disclosed.
– Firms closely monitor such activities due to the risk they pose to both clients and the firm’s reputation.
**Haselkorn & Thibaut is actively investigating these circumstances.**
**Customer Complaints & Disputes: What Investors Need to Know**
Rudy Anguiano’s **FINRA BrokerCheck** record reflects **two distinct customer-initiated complaints**:
| Date/Year | Nature of Complaint | Status / Outcome |
|---|---|---|
| 2020 (California Superior Court – Los Angeles County) | Claim of misrepresentation of investment performance and failure to follow concentration limits. | Settled in 2021; joint stipulation for dismissal filed. Settlement amount was confidential. |
| 2022 (FINRA Arbitration) | Allegations of unauthorized trading (“churning”) in an equities account during 2018–2019. | Arbitrator awarded claimant approx. $75,000 in damages plus interest; paid by LPL Financial’s errors & omissions carrier in 2023. |
**Specific Red Flags Noted**
– **Termination for potential regulatory rule violation** (private transactions outside the firm).
– **Customer complaints regarding unauthorized trading, misrepresentation, and failure to follow client instructions.**
– **Monetary damages awarded against the firm in arbitration.**
– **Multiple firm changes over career span**—which may warrant further review to assess patterns.
**Regulatory and Civil Filings: The Full Picture**
– **No regulatory actions** from FINRA, SEC, or state regulators against Rudy Anguiano as of June 2024.
– **No criminal charges, bankruptcy filings, liens, or SEC enforcement orders.**
– Both customer disputes have resulted in financial settlements or awards, demonstrating the seriousness of allegations even in the absence of formal regulatory action.
**Why This Should Concern Investors**
When an advisor is **terminated for conduct involving private investments** and has a **history of customer complaints resulting in six-figure settlements or awards**, investors should carefully evaluate whether their interests were put first. **Unauthorized trading, concentration risk, and misrepresentations of investment performance** are all critical breaches of a broker’s fiduciary duty and could contribute to client losses.
Even without regulatory sanctions, these repeated disclosures and outcomes are **meaningful red flags** for any current or prospective client.
**Protecting Yourself as an Investor**
Given these facts, **investors working with or considering working with Rudy Anguiano at Alexander Capital should:**
- Review all account statements and communications for unauthorized activity or unclear explanations.
- Ask for written explanations on any investments made outside typical firm channels or products.
- Monitor performance and ensure all risk and concentration limits are being respected as per your instructions.
- Utilize BrokerCheck (search under “Rudy Anguiano” CRD# 5188950) for current disclosures and always independently verify your advisor’s background.
- Consult with a skilled investment loss attorney if you suspect any improprieties or have experienced losses.
**How Haselkorn & Thibaut Can Help**
**Haselkorn & Thibaut** is a national **investment fraud law firm** with **over 50 years of experience**, a **98% success rate**, and **millions recovered for clients**. We offer **free, confidential consultations** for investors who have worked with Rudy Anguiano or Alexander Capital and are worried about investment losses or the management of their portfolios. **There are no fees unless we successfully recover funds on your behalf**.
**Take Action Today**
If you have concerns about your investments with Rudy Anguiano or the circumstances surrounding his departure from LPL Financial, **contact Haselkorn & Thibaut at 1-888-885-7162**. Our attorneys are dedicated to protecting investors and will help you understand your rights and potential options in a clear, honest, and supportive manner.
**Don’t wait until losses add up**—your situation may qualify for recovery through FINRA arbitration or other legal channels. We are here to provide clarity and guidance, with **zero cost to you unless recovery is made**.
Your financial security is too important to leave to chance. **Call now for a free consultation and let us advocate for your interests.**
