Former LPL Financial LLC broker J. Glaze (CRD# 5373140) is accused of unsuitable investment recommendations. He has been registered with Avantax Investment Services, Inc. and Avantax Advisory Services in Graham, North Carolina, since 2022. He was registered with LPL Financial LLC in Graham, North Carolina, from 2012 to 2022.
J. Glaze Customer Complaints
He has been the subject of two customer complaints between 2023 and 2024, according to his CRD report:
June 2024. “Customer alleged their investments were not suitable.” The customer is seeking xxx in damages, and the case is currently pending. The complaint was regarding structured products, and it took place while he was registered with LPL Financial LLC.
April 2023. “Customer alleges representative recommended investments in structured products which were not suitable for customer’s risk tolerance. Activity period August 2021 to May 2022.” The case was settled for $250,000. The complaint was regarding structured products, and it took place while he was registered with LPL Financial LLC.
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 Financial LLC may be liable for investment or other losses suffered by J. Glaze’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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