Last Updated: June 2025 — Chicago, IL
Here’s what you need to know about Chicago, IL, stockbroker Susan H. Ciucci:
- Name: Susan H. Ciucci
- Current Employer: LPL Financial LLC
- Prior Employers: Grove Point Investments, LLC; LPL Financial Corporation; PEB Financial Group, Inc.; Linsco/Private Ledger Corp.
- Primary Location: Chicago, IL
- DBA: PEB Financial
- CRD#: 1136921
- Function: Stockbroker / Financial Advisor
- Can Susan H. Ciucci be sued in FINRA arbitration? Yes
- Sanctioned by FINRA? No
- Discharged by a priorEmployer: Yes
- Highest Settlement or Award: $60,000
- Pending Customer Dispute Seeks Damages of: $33,823
If you’ve sustained damages from Ms. Ciucci, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Susan H. Ciucci as Your Stockbroker?
An earlier dispute filed by a customer of H. Beck was settled for $60,000. The complaint alled that Susan Ciucci failed to establish and maintain a compliant 457(f) deferred compensation plan as recommended.
In a pending FINRA arbitration case filed by a customer of PEB Financial Group alleges that Ms. Ciucci failed to disclose the tax consequences of an early retirement account distribution. The alleged damages in this case are $33,823.
Ms. Ciucci was discharged by LPL Financial in after soliciting clients for a product she was not yet appointed to sell. According to her statement, she ceased all activity once she realized her appointment was not being processed. No transactions were completed. This situation highlights concerns regarding adherence to FINRA Rule 3270, which governs outside business activities, and Rule 3110, which covers supervision.
Allegations of Broker Misconduct Against Susan H. Ciucci
Customers of Ms. Ciucci allege the following wrongdoing:
- Failed to disclose tax implications of an early retirement distribution.
- Failure to implement a compliant deferred compensation plan.
- Unsuitable recommendation to invest in an annuity
- Termination from LPL Financial (2010): These disclosures raise concerns about suitability, compliance with firm policies, and proper client communication—all critical elements in protecting investor interests.
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 Susan H. Ciucci, 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.