Last Updated: February 2025, Graham, NC
J. Brian Glaze Investigation Summary
Here’s what you need to know about Graham, NC stockbroker J. Brian Glaze:
- Name: Mr. J. Brian Glaze
- Current Employer: Avantax Advisory Services & Avantax Investment Services, Inc.
- Prior Employers: LPL Financial LLC, IFG Advisory, LLC, SunTrust Investment Services, Inc.
- DBA: Envision Wealth Partners
- Function: Stock Broker/ Financial Advisor
- Aliases: Brian Glaze
- Primary Location: Graham, NC
- CRD #: 5373140
- Can J. Brian Glaze be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award: $250,000
- Pending Customer Dispute: Case seeking damages over $5,000 related to unsuitable investment recommendations in structured products.
If you’ve sustained damages from Mr. Glaze, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With J. Brian Glaze As Your Stockbroker?
A customer of LPL Financial LLC settled a FINRA arbitration case for $250,000 on August 27, 2024. The dispute alleged that J. Brian Glaze recommended unsuitable structured product investments that did not align with the client’s risk tolerance.
Key Case Details:
- Date of Arbitration Filing: April 4, 2023
- Case Number: 23-00805
- Settlement Amount: $250,000
- Allegation: Unsuitable investment recommendations in structured products between August 2021 and May 2022
In a currently pending FINRA arbitration case (Case No. 24-01163), a customer has alleged that Glaze made unsuitable investment recommendations in structured products. While the exact damages amount has not been specified, it is expected to be over $5,000. The arbitration process is currently pending.
See this for more information on REITs and Other Alternative Investments
Alternative Investments: These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk. For more investigations involving Alternative Investments, see this.
Allegations of Broker Misconduct Against J. Brian Glaze
Customers have filed two disputes against J. Brian Glaze, alleging the following misconduct:
- Unsuitable Investment Recommendations – Customers claim that Glaze recommended structured products that did not match their risk tolerance, violating FINRA Rule 2111 (Suitability Rule).
- Failure to Act in Clients’ Best Interest – Allegations suggest a failure to follow Regulation Best Interest (Reg BI) standards, which require brokers to prioritize customer interests over their own.
FINRA requires brokers and brokerage firms to report customer complaints, disputes, and regulatory sanctions. If you believe your investments were mishandled, you may have legal options to recover losses.
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 J. Brian Glaze, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
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. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
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.