Were you the victim of investment losses due to recommendations by LPL Financial LLC broker James Cassa (CRD# 2655896)? He has been registered with LPL Financial LLC in Paramus, New Jersey, since 2009.
James Cassa Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
March 2024. “Customers allege they suffered unexpected tax liabilities as a result of investment recommendations to surrender their variable annuities. Time period November 2021 to April 2023.” The case is currently pending. The complaint was regarding variable annuity investment losses.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, LPL Financial LLC may be liable for investment or other losses suffered by James Cassa’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
"*" indicates required fields
