Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Evan Jay Adelglass (also known as Evan Jan Adelglass) [CRD#: 2392225, Ansonia, Connecticut].
Evan Adelglass has worked for LPL Financial LLC since August 31, 2005.
Recent disclosures reveal concerns about Adelglass’s conduct, including allegations of unsuitable investment recommendations and client disputes.
On October 7, 2024, clients of LPL Financial initiated FINRA Arbitration No. 24-02134, alleging that investments recommended by Evan Adelglass between 2021 and 2024 were unsuitable for their investment objectives and risk tolerance. The investments in question involved equity-listed securities, including common and preferred stocks. The clients are seeking damages of $330,000. This matter is currently pending resolution. Adelglass denies the allegations, stating that the investments were suitable and aligned with the clients’ financial goals and that all transactions were made after thorough discussions and client approval.
A separate arbitration claim was filed on October 4, 2024, under FINRA Arbitration No. 24-02133. This claim alleges that Adelglass made unsuitable recommendations for equity-listed securities from 2020 to 2024, resulting in alleged damages of $600,000. This matter is also pending resolution. Adelglass maintains that the allegations are without merit and asserts that all recommendations were suitable, compliant with industry standards, and supported by appropriate documentation.
A Florida resident filed a written complaint on March 21, 2002, against First Union Securities. The complaint alleged that speculative investments were made without authorization and were unsuitable for the client’s financial status. The client sought damages of $283,677, citing value losses and interest. On May 17, 2002, the claim was denied.
If so, reach out to Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney. Soreide Law Group helps investors nationwide recover losses from sales practice misconduct, though outcomes may vary. Adelglass and the firms he has worked for deny accusations of sales practice violations.
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