Erez Law is currently investigating LPL Financial LLC broker Rowena Ruff (CRD# 2905624) regarding real estate securities losses. She has been registered with LPL Financial LLC in Lexington, Kentucky, since 2010 and with Independent Advisor Alliance, LLC in Lexington, Kentucky, since 2018.
Rowena Ruff Customer Complaints
She has been the subject of one customer complaint, according to her CRD report:
February 2024. “Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.” The case is currently pending. The complaint was regarding real estate securities 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 Rowena Ruff’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.
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