LPL Financial LLC broker Roderick Uy (CRD# 4945992) is accused of misrepresentation leading to investment losses. He has been registered with LPL Financial LLC in Torrance, California, since 2011.
Roderick Uy Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
February 2026. “Customers allege misrepresentations regarding unnecessary and improper trades from 2016-2025.” The customer is seeking $750,000 in damages, and the case is currently pending.
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 Roderick Uy’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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