Last Updated: February 2026, 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: Not currently registered with any FINRA broker dealer.
- DBA: Linsco/Private Ledger
- Prior Employers: LPL Financial , Wachovia Securities LLC, Prudential Securities Incorporated, UBS PaineWebber Inc.
- Function: Stockbroker / Financial Advisor
- Aliases: Joe Lauzon
- Primary Location: Clovis, CA
- CRD:2773510
- Can Joseph Lauzon be sued in FINRA arbitration: Yes
- Discharged by a Prior Employer: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award: $250,000
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?
Three customer disputes brought by customers of LPL Financial alleges that Joseph Lauzon fraudulently transferred funds from their accounts. These claims were settled with payments of $250,000, $70,500 and $165,000 respectively. A fourth claims brought in 2025 by the broker’s brother alleged that Lauzon fraudulently transferred $538,250 from the broker’s father was “denied” by the firm.
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.
In 9/2025 LPL Financial discharged Lauzon following the allegations of misappropriation and unauthorized disbursements from client accounts.
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
Investigations involving Theft and Misappropriation of Customer Funds
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.