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Investigation of LPL Financial LLC Broker James Frawley

Posted on Monday, April 5th, 2021 at 7:08 pm    

LPL Financial LLC

Did you lose money investing with LPL Financial LLC broker James Frawley (CRD# 2867752)? Frawley has been registered with LPL Financial LLC in Santa Monica, California since 2004. 

Frawley has been the subject of one customer complaint in 2021, according to his CRD report:

January 2021. “Counsel for the customer alleges misrepresentations regarding option trades.” The case is currently pending. The complaint is regarding common and preferred stock investment losses and took place while Frawley was registered with LPL Financial LLC and Westside Investment Management, Inc.

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 Frawley’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and 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.