Last Updated: July 2025 – Los Angeles, CA
Here’s what you need to know about Los Angeles, CA stockbroker Jose Antonio Navarro:
- Name: Mr. Jose Antonio Navarro
- Current Employer: Suspended by FINRA , RIA with NFSG Corporation
- DBA: TaxPlus, Navarro Financial LLC, UNTAX
- Prior Employers: Independent Financial Group, LLC , LPL Financial LLC, Mutual Service Corporation, Brookstreet Securities Corporation, Securities West, Inc., Fortis Investors, Inc.
- Function: Stockbroker / Registered Investment Advisor (RIA)
- Aliases: Jose A. Navarro
- Primary Location: Los Angeles, CA
- CRD Number: 2250454
- Can Jose Navarro be sued in FINRA arbitration? Yes
- Sanctioned by FINRA: Yes
- Discharged by a Prior Employer: Yes
If you’ve sustained damages from Mr. Navarro, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Jose Navarro As Your Stockbroker?
In May 2025 FINRA suspended Navarro for 12 months (5/19/2025-5/18/2026) and fined him $20,000 to resolve numerous regulatory violations while employed by LPL Financial and Independent Financial Group, including:
- Participating in private securities transactions with firm approval. (Investing in alternative energy company)
- Borrowing from customers of his employing firm without firm approval
- Providing partial and misleading information to FINRA
Mr. Navarro was discharged from Independent Financial Group, LLC on August 15, 2023. The firm alleged that he violated FINRA Rule 3280 by purchasing a non-approved private promissory note for himself and referring it to clients without the firm’s approval.
These types of actions could also implicate FINRA Rule 2010, which governs ethical conduct, and potentially FINRA Rule 2111 (Suitability) if the recommendations lacked a reasonable basis for the clients involved.
Allegations of Broker Misconduct Against Jose Navarro
Clients and regulatory authorities have raised the following concerns about Mr. Navarro’s conduct:
- Unapproved Investment Referrals (Sellng away)
- Borrowing from clients
The Financial Industry Regulatory Authority (FINRA) mandates full disclosure of all outside business activity and customer disputes. When brokers recommend investments outside their firm’s oversight, investors may be left without key protections.
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 Jose Antonio Navarro, 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.