Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has officially opened an investigation into Miami Lakes, FL financial advisor Samuel Izaguirre (CRD #4835113) of LPL Financial LLC. As former Wall Street defense attorneys, our firm leverages deep insider knowledge to advocate for investors Nationwide who have suffered losses due to misleading or unsuitable financial advice. If you believe your investments or retirement savings were mishandled by Samuel Izaguirre, we urge you to consider your recovery options immediately. Contact us today for a free consultation at 1-888-885-7162.
Below is an analysis of Samuel Izaguirre’s background, potential red flags, and a summary of publicly available complaint and regulatory information as of June 2024.
Who Is Samuel Izaguirre? (Miami Lakes, FL)
Table of Contents
- Name: Samuel Izaguirre
- CRD Number: 4835113
- Location: Miami Lakes, Florida
- Current Broker-Dealer: LPL Financial LLC (since 2011)
- Other Business Affiliations: SI Wealth Management, LLC; S & J Family Properties, LLC; Saybrus Partners, LLC; NexAnnuity; Reliance Standard (insurance agent)
- Prior Firms: Independent Financial Partners, Chase Investment Services Corp., WaMu Investments, Inc.
Overview of Regulatory Record
Investors researching Samuel Izaguirre may find that his BrokerCheck record, publicly available at https://brokercheck.finra.org, reflects no formal regulatory disclosures, enforcement actions, or customer complaints. A review of public regulatory and court sources as of June 2024 found:
- No pending or past SEC enforcement actions or orders
- No state regulator findings or administrative actions
- No federal court lawsuits or class actions naming Izaguirre as a defendant
- No active customer lawsuits or settlements shown on record as of June 2024
- No consumer complaints filed with the Better Business Bureau or similar watchdog agencies
Haselkorn & Thibaut’s FINRA Arbitration Investigation
Despite the absence of currently disclosed regulatory actions, investors should be aware of at least one prior FINRA arbitration involving Mr. Izaguirre. Our investigation into Samuel Izaguirre identified the following customer dispute:
| Date | Allegation | Brokerage Firm | Outcome | Award/Settlement |
|---|---|---|---|---|
| March 2021 | Misrepresentation regarding alternative investments and a variable annuity; unsuitable recommendations allegedly inconsistent with the investor’s objectives | LPL Financial LLC | Settled | $120,000 |
Key points regarding the 2021 FINRA arbitration:
- The customer alleged misleading statements and unsuitable investment advice involving alternative investments and annuities
- The claim involved allegations of significant investment losses
- The matter was reportedly resolved through a $120,000 settlement
Types of Broker Misconduct Alleged Against Samuel Izaguirre
Based on the allegations identified during this investigation, the most significant potential red flags associated with Samuel Izaguirre and his tenure at LPL Financial include:
- Unsuitability (FINRA Rule 2111): Recommending investments inconsistent with a client’s risk tolerance, investment horizon, or financial needs
- Breach of Fiduciary Duty: Failing to place client interests ahead of personal or firm incentives
- Misrepresentation and Fraud (FINRA Rule 2020): Making misleading statements or omitting material information about product risks or features
- Potential Unauthorized Trading: Executing transactions without full client understanding or authorization
What Should Investors Do Next?
If you invested with Samuel Izaguirre of LPL Financial in Miami Lakes, Florida and suffered losses, especially in non-traded REITs, annuities, or alternative investments, you may have grounds to pursue financial recovery. Even when official records appear limited, investors may still recover damages through FINRA arbitration if unsuitable recommendations or other misconduct can be established.
Our Firm’s Experience and Commitment to Investors
Our attorneys focus on helping investors pursue recovery for wrongful investment losses. We bring extensive securities law experience, a history of representing investors in FINRA arbitration, and practical insight developed as former Wall Street defense attorneys.
No recovery, no fee: You pay nothing unless we recover funds for you.
How to Start the Recovery Process
- Complimentary Case Review: Our attorneys can review your account and transaction history at no cost
- Personalized Recovery Strategies: We assess the facts of your case and outline potential paths to recovery
- FINRA Arbitration Guidance: Many investor claims are resolved through FINRA arbitration rather than court litigation
If you have questions about Samuel Izaguirre, LPL Financial LLC, or believe you may have been harmed by unsuitable advice or misrepresentation, call 1-888-885-7162 for a free and confidential consultation with a securities attorney.
If you would like this investigation information organized for your records, reports can also be prepared in spreadsheet, PDF, or similar formats.
