Haselkorn & Thibaut Opens Investigation Into Craig Anthony Roy, LPL Enterprise, LLC – Baton Rouge, Louisiana
If you’ve worked with Craig Anthony Roy (CRD #6834029), currently registered with LPL Enterprise, LLC in Baton Rouge, Louisiana, you may have questions about the safety of your investments. Haselkorn & Thibaut, a national securities fraud law firm, has opened an independent investigation into Craig Anthony Roy’s conduct as a financial advisor. The firm offers free, confidential consultations to investors who have concerns about investment losses or account activity.
Who Is Craig Anthony Roy?
Craig Anthony Roy is listed as a stockbroker/financial advisor registered with LPL Enterprise, LLC in Baton Rouge, Louisiana. Public records reflect that he has been registered in the securities industry since 2017 and previously worked at Edward Jones from September 2017 through December 2025.
In addition to his broker-dealer affiliation, he has disclosed other business activities, including:
– Avoyelles Wealth Management LLC (operating as an LPL business)
– Westside Habilitation Center (Finance Director)
– Non-variable insurance business under “Craig Roy Insurance”
His professional background and disclosure history can be reviewed through FINRA BrokerCheck at: https://brokercheck.finra.org/
Known Disclosures and Potential Red Flags
Based on publicly available information, the following disclosures have been reported:
Disclosure Type: Employment Termination
Details: Discharged from Edward Jones in December 2025 for allegedly not adhering to the firm’s Complaints Policy.
Disclosure Type: Financial Compromise
Details: Settled a debt in July 2025 ($1,100 reduced to $661).
Disclosure Type: Civil Judgment / Lien
Details: Outstanding lien in favor of LVNV Funding LLC (Pineville City Court, May 2025) – $10,598.
No Customer Complaints or Regulatory Actions – What Does This Mean?
According to recent FINRA BrokerCheck records, Craig Roy does not report customer-initiated complaints, arbitration claims, or regulatory actions/enforcement orders. Public court searches also do not reflect currently filed complaints, lawsuits, or criminal actions against him based on the information provided.
Even when a broker has no customer complaints or regulatory actions, other disclosures—such as employment termination and financial events (including liens or negotiated settlements)—may still be important for investors to evaluate when assessing risk and oversight.
Key Facts About Registration and Employment History
– Securities registration began: 2017
– Current firm: LPL Enterprise, LLC (Baton Rouge, Louisiana)
– Prior firm: Edward Jones (2017–2025)
– No reported customer complaint history (per referenced public record summary)
– No reported SEC or state enforcement actions (per referenced public record summary)
Should Investors Be Concerned?
The existence of an investigation does not mean wrongdoing occurred. However, investors may want to stay alert if they experienced unexpected losses, confusing recommendations, concentrated positions, excessive trading, or other account activity that does not align with their goals or risk tolerance. Disclosures involving termination and financial matters can also be relevant when deciding whether to request a second opinion or further review.
Common Red Flags Investors Watch For
– Unauthorized or unexplained trading
– Recommendations that appear unsuitable for your risk tolerance or objectives
– Lack of clarity or transparency about fees, risks, or performance
– Difficulty obtaining information, statements, or timely responses
– Financial judgments or liens reported for the advisor
Next Steps Investors Can Take
If you worked with Craig Anthony Roy at LPL Enterprise, LLC and have concerns about your account, consider:
– Collecting and organizing account statements, trade confirmations, and written communications
– Requesting an explanation of any transactions you do not understand
– Seeking an independent review of suitability and portfolio concentration
– Contacting Haselkorn & Thibaut for a free, confidential consultation regarding potential recovery options
Haselkorn & Thibaut represents investors on a contingency basis, meaning no fee unless there is a recovery.
For a free case review, contact Haselkorn & Thibaut at 1-888-885-7162.
