Paulette Treguboff (CRD 2699595) is a registered representative with LPL Financial. According to BrokerCheck, a customer filed a claim against her on August 24, 2026 that remains pending.
Paulette Treguboff (CRD 2699595) is a registered representative with LPL Financial. According to BrokerCheck, a customer filed a claim against her on August 24, 2026 that remains pending.
The claim, docketed as FINRA case 26-01915, alleges $650,000 in damages. No arbitrator has ruled on it.
The customer alleges that Paulette Treguboff did not act in the customer's best interest by recommending an unsuitable securities investment in the fall of 2025, BrokerCheck shows.
In a statement on BrokerCheck, Treguboff denied any wrongdoing and asserted that the allegations are without merit. She said the investments the customer complained about were suitable, were recommended based on the customer's objectives, goals and financial circumstances, and were offered only after a review of all material documentation related to the investments.
BrokerCheck reports for Beaux Guthrie Treguboff (CRD 5533615) list the same case number.
BrokerCheck also shows an earlier customer dispute against Paulette Treguboff, filed February 26, 2002 while she was with UBS Financial Services, that settled on January 23, 2003. The claimant alleged $112,696 in damages, according to the disclosure.
The claimant alleged breach of fiduciary duty, misrepresentation, fraud, negligence, and unsuitable recommendations and investment strategies, according to BrokerCheck. The matter settled for $27,000, the disclosure states.
FINRA Rule 2111 requires a broker to have a reasonable basis for believing that a recommended transaction or investment strategy is suitable for a customer, based on the customer's investment profile, including factors such as age, other investments, financial situation, risk tolerance and investment objectives.
A pending claim is an unproven allegation. FINRA's suitability rule sets the standard an arbitration panel would apply if the claim proceeds to a hearing, but it does not by itself establish that a recommendation was unsuitable. Paulette Treguboff's 2002 claim and her pending 2026 claim are separate matters, filed years apart and at different firms.
FINRA member firms must supervise the activities of their brokers. If you have questions about an account that Paulette Treguboff handled, call Soreide Law Group at (888) 760-6552. You can also reach us online to speak with a securities attorney. Our securities lawyers handle FINRA arbitration claims on a contingency fee basis. Learn how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of October 14, 2026. Allegations in customer complaints and arbitrations are claims, not findings. Pending claims remain open and undecided. A settlement is also not an admission of wrongdoing. FINRA may also update or correct these records after that date.
Paulette Treguboff (CRD 2699595) is a registered representative with LPL Financial. According to BrokerCheck, a customer filed a claim against her on August 24, 2026 that remains pending.
Robert Averwater (CRD 5614514) is a Memphis, Tennessee broker. FINRA fined him $10,000, suspended him from association with any member firm in all capacities for four months, and required him to complete 10 hours of continuing education, according to an AWC issued August 18, 2026.
Qi Yang (CRD 7439718) is a San Francisco, California broker. FINRA suspended him from association with any member firm in all capacities for six months and assessed a deferred fine of $5,000, according to an AWC issued August 10, 2026.
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