Can I recover losses from investments with former LPL Financial LLC broker Thomas Rindahl (CRD# 3200702)? He has been registered with Osaic Wealth, Inc. in Mesa, Arizona, since 2024, and PFG Advisors in Scottsdale, Arizona, since 2015. He was registered with Securities America, Inc. in Tempe, Arizona, from 2017 to 2024, and LPL Financial LLC in Scottsdale, Arizona, from 2009 to 2017.
Thomas Rindahl Customer Complaints
He has been the subject of one customer complaint, according to his 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 security losses, and it took place while he was registered with LPL Financial LLC.
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 Thomas Rindahl’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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