Erez Law is currently investigating LPL Enterprise, LLC broker Joanna Wang (CRD# 4056171) regarding real estate security losses. She has been registered with LPL Enterprise, LLC in Fort Mill, South Carolina, since 2024. She was registered with Prudential Financial Planning Services in Lake Barrington, Illinois, from 2004 to 2024, and Pruco Securities, LLC in Lake Barrington, Illinois, from 2002 to 2024.
Joanna Wang Customer Complaints
She has been the subject of two customer complaints between 2004 and 2025, one of which was denied, according to her CRD report:
March 2025. “Alleges between April 2013 and June 2015, rep engaged in misleading and fraudulent communications; unsuitable investment recommendation; unauthorized solicitation and selling away; failure to supervise and record keeping violations; undisclosed compensation and conflicts of interest; violations related to non-traded REIT sales.” The customer is seeking $495,000 in damages, and the case is currently pending. The complaint took place while he was registered with Pruco Securities, LLC, and it was regarding real estate securities.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, LPL Enterprise, LLC may be liable for investment or other losses suffered by Joanna Wang’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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