Last Updated: April 2025, Clovis, CA
Joseph Lauzon Investigation Summary
Here’s what you need to know about Clovis, CA, stockbroker Joseph Lauzon:
- Name: Joseph Frank Lauzon
- Current Employer: LPL Financial LLC
- DBA: Linsco/Private Ledger
- Prior Employers: Wachovia Securities LLC, Prudential Securities Incorporated, UBS PaineWebber Inc.
- Function: Stockbroker / Financial Advisor
- Aliases: Joseph Lauzon
- Primary Location: Clovis, CA
- CRD:2773510
- Can Joseph Lauzon be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of:$538,250
If you’ve sustained damages from Mr. Lauzon, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Joseph Lauzon As Your Stockbroker?
A pending dispute brought by a customer of LPL Financial alleges that Joseph Lauzon fraudulently transferred funds from an IRA account belonging to his and the complainant’s father. The alleged fraudulent activities reportedly occurred between November 17, 2024, and December 12, 2025. The complaint, received on February 12, 2025, seeks damages totaling $538,250.
Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
Allegations of Broker Misconduct Against Joseph Lauzon
Customers of Joseph Lauzon have alleged the following wrongdoing in connection with the handling of customer accounts:
- Fraudulent transfer of funds from a family member’s IRA account
- Misappropriation and conversion of client funds
FINRA Rule 2150, which prohibits brokers from misusing customer funds or securities, may be applicable to the allegations involving fraudulent transfer and misappropriation.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. Additionally, brokers are required to disclose certain financial matters such as personal bankruptcies, judgments, and liens.
Recover Your Investment Losses Now With Rex Securities Law
Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes
If you have suffered investment losses in an account handled by Joseph Lauzon, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.