Investors might have sustained losses due to securities broker Broc Wavra [CRD: 4785221, Brawley, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Broc Wavra has worked for LPL Financial LLC since November 29, 2017, and Valley Wealth Strategies LLC since December 12, 2017. Investors should continue reading to discover more about client complaints disclosed on FINRA BrokerCheck involving Wavra.
Particularly, on September 12, 2025, an LPL Financial LLC client filed a complaint about Broc Wavra. Mainly, the client alleged that Wavra committed forgery and made misrepresentations. Because of this, the client allegedly experienced damages related to variable annuities. Consequently, the client requested compensation from LPL Financial LLC or Wavra. The complaint remains pending, and Wavra and LPL Financial LLC deny the allegations.
Also, a client of Valley Wealth Strategies LLC disputed Wavra’s sales practices, according to a complaint dated March 21, 2025. Allegedly, Wavra made unsuitable recommendations and failed to provide a prospectus. It appears that Wavra allegedly caused the client to sustain damages connected to variable annuities. Therefore, the client sought compensation in the amount of $10,667.77. This matter was denied and closed on April 15, 2025, and Wavra and the firm deny the allegations.
Did you suffer any investment-related losses because of Broc Wavra? If so, reach out to Soreide Law Group at (888) 760-6552 or online and talk with a securities lawyer regarding a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee arrangement and advances all costs. Wavra and brokerage firms Wavra worked for deny accusations of sales practice violations.
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