Erez Law is currently investigating LPL Financial LLC and Stratos Wealth Partners, Ltd. broker Richard Ganim Jr. (CRD# 2447068), who is accused of stock losses. He has been registered with LPL Financial LLC in Broadview Heights, Ohio, since 2017, and Stratos Wealth Partners, Ltd. in Broadview Heights, Ohio, since 2017. He was registered with MSI Financial Services, Inc. in Broadview Heights, Ohio, from 2010 to 2017.
Richard Ganim Jr. Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
July 2026. “Alleged violations of Reg BI. Time period: 10/9/2024 – current.” The case is currently pending. The complaint was regarding common stock losses, and it took place while he was registered with LPL Financial LLC and Stratos Wealth Partners, Ltd.
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 and Stratos Wealth Partners, Ltd. may be liable for investment or other losses suffered by Richard Ganim Jr.’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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