Investors might have sustained losses through securities broker Sean Francis Mostero [CRD: 6447158, Torrance, California], according to public information found on FINRA BrokerCheck. Evidently, Mostero worked for First Allied Securities Inc. from July 7, 2017, to September 8, 2022, Cetera Advisors LLC from September 8, 2022, to May 3, 2023, and LPL Financial LLC from May 2, 2023, to March 26, 2024. Keep reading to learn more about the disclosures involving this securities broker.
Specifically, a Cetera Advisors LLC client filed FINRA Arbitration No. 24-00874 about Sean Mostero. the client claimed that Mostero breached his fiduciary duty. Because of this, the client allegedly sustained $350,000 in damages. For this reason, on April 22, 2024, this matter was filed as pending arbitration before FINRA in Los Angeles, California.
Evidently, FINRA issued Case: 2024081064401 on May 10, 2024, sanctioning Sean Mostero. Allegedly, Mostero failed to provide information to FINRA. Consequently, Mostero was suspended and later barred permanently from association with any FINRA member in all capacities. The suspension began on May 10, 2024, and converted to a permanent bar on July 19, 2024, after Mostero did not request termination of his suspension.
Sean Mostero was the subject of an investigation initiated by FINRA on March 24, 2024, into allegations that Mostero mishandled withdrawals when Mostero was associated with LPL Financial LLC. The investigation is still ongoing.
Particularly, a lessandra Capital Management LLC disaffiliated with Mostero on February 29, 2024. Allegedly, Mostero did not cooperate with the firm’s requests for information and stopped coming to the office.
Do you need clarification on any investment losses relating to Sean Mostero? You should reach out to Soreide Law Group at (888) 760-6552 or online and consult with a securities lawyer regarding a possible recovery. For more than a decade, Soreide Law Group has recovered losses for investors throughout the US. Also, the firm takes cases on a contingency fee arrangement and advances all costs. Mostero and brokerage firms Mostero worked for deny accusations referenced within these public disclosures.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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