Haselkorn & Thibaut Investigates Tyler Nathaniel Tognarine of LPL Enterprise, LLC — Naples, FL
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If you are an investor who worked with Tyler Nathaniel Tognarine (CRD #7051385) of LPL Enterprise, LLC in Naples, Florida, it’s important to stay informed about your financial advisor’s background and any recent developments that could impact your accounts. Haselkorn & Thibaut (investmentfraudlawyers.com), a national securities fraud law firm with over 50 years of experience, a 98% success rate, and millions recovered for clients, has opened an investigation into Mr. Tognarine and LPL Enterprise, LLC.
As an investor, your awareness can help protect your retirement savings and financial future. Read on for a detailed review of what’s publicly known and what red flags to look for, as well as what steps you can take if you have concerns about your investments.
Who is Tyler Nathaniel Tognarine?
Name: Tyler Nathaniel Tognarine (also known as Tyler N. Tognarine)
Current Employer: LPL Enterprise, LLC, 1575 Pine Ridge Road, Unit 8, Naples, FL 34109 (since Nov. 2024)
CRD Number: 7051385
Prior Firms:
- Pruco Securities, LLC (02/2019–11/2024)
- Prudential Financial Planning Services (03/2021–11/2024)
Additional Business Affiliations:
- Sharon Brimmer Agency (Property & Casualty Insurance, since Oct. 2023)
- Florida SouthWestern State College (Live Sports Statistics Records, since Jan. 2020)
Professional Qualifications: General Securities Representative; registered in multiple states; passed SIE, Series 63 & 65.
BrokerCheck On Tyler Tognarine
To view Tyler Tognarine’s regulatory history, visit FINRA BrokerCheck.
Complaints and Disclosures: What Investors Need to Know
| Disclosure Type | Date | Summary | Status | Settlement Amount |
|---|---|---|---|---|
| Customer Complaint | January 2023 | Allegation of inadequate disclosure regarding variable annuity purchase (as a retirement plan) while at Pruco Securities, LLC. Key Issues:
|
Settled August 2023 | $15,967 |
- As of June 2024: No other customer complaints, arbitrations, regulatory actions, or enforcement actions were reported in FINRA BrokerCheck, SEC, or Florida state records for Mr. Tognarine.
Red Flags for Investors
While there is only one reported and settled customer complaint, there are some key risks to consider:
- Inadequate Disclosure: The January 2023 complaint centers on whether full disclosure was made regarding the features and risks of a variable annuity as a retirement investment. This is a focus area for regulators because annuities are complex products that may not be suitable for all investors.
- Suitability Obligations: Under FINRA and SEC rules, brokers must ensure recommendations align with a client’s individual needs and risk tolerance. Unsuitable recommendations can expose investors to losses.
- Omission or Misrepresentation: Advisers are strictly prohibited from omitting material facts or misrepresenting risks.
Regulatory and Legal Background: What Haselkorn & Thibaut Found
A thorough review was performed across multiple industry and legal resources for Tyler Nathaniel Tognarine:
- FINRA BrokerCheck: No customer complaints, regulatory actions, arbitrations or criminal matters other than the single settled customer complaint as listed above.
- SEC (EDGAR, Litigation Releases): No enforcement or administrative proceedings.
- Federal Court Records (PACER): No civil or criminal cases.
- Florida State Securities Regulator: No disciplinary actions.
- Major News and Legal Research Databases: No lawsuits or complaints found beyond what is referenced.
What Should Investors Do Now?
With only a single settled complaint and no reported ongoing regulatory proceedings or lawsuits, it’s important to:
- Regularly monitor your account statements for unusual activity.
- Request full and clear explanations for all investment transactions.
- Consult an experienced securities attorney if you have concerns regarding variable annuities or any complex investment product sold to you.
- Consider running a periodic FINRA BrokerCheck for updates.
Haselkorn & Thibaut is Here to Help
If you believe you may have sustained investment losses or experienced unsatisfactory handling of your investments by Tyler Nathaniel Tognarine of LPL Enterprise, LLC, Naples, FL, you are not alone. Haselkorn & Thibaut offers free and confidential case reviews nationwide.
- Over 50 Years of Combined Experience
- 98% Success Rate
- No Recovery, No Fee
Act now to protect your financial future.
Contact Haselkorn & Thibaut – Free Consultation
If you have concerns about your investments, or if you lost money through recommendations from Tyler Nathaniel Tognarine or any advisor at LPL Enterprise, LLC, call Haselkorn & Thibaut toll-free at 1-888-994-8066 for a no-cost, no-obligation consultation. Our experienced securities attorneys are ready to help you recover your investment losses.
Your financial security matters—get the answers and support you deserve. Call Haselkorn & Thibaut at 1-888-994-8066 today.
