Investors might have sustained losses because of securities broker Shaun B. Floresca [CRD: 4758697, Chicago, Illinois], according to disclosures on FINRA BrokerCheck. Apparently, Shaun Floresca has been registered with LPL Financial LLC since November 12, 2012. Keep reading to learn more about Floresca’s client dispute disclosures and pending arbitration matters.
Specifically, on January 2, 2024, an LPL Financial LLC client filed FINRA Arbitration No. 24-00006 about Shaun Floresca. The client alleged that Floresca made unsuitable recommendations. Because of this, the client allegedly sustained damages on real estate securities. Consequently, the client requested damages of more than $5,000 in compensation from LPL Financial LLC or Floresca. This arbitration is pending a resolution. Notably, the broker denies the allegations and claims he discussed risks with the client.
Also, a client of LPL Financial LLC contested Shaun Floresca’s sales practices by filing FINRA Arbitration No. 23-00267. Allegedly, Floresca gave unsuitable investment advice concerning the client’s purchase of real estate securities. As a result, LPL Financial LLC opted to settle the matter on May 25, 2023, by compensating the client in the amount of $35,000. The broker denies the client’s allegations.
Do you have questions about investing through Shaun Floresca? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer. Soreide Law Group has recovered losses for investors throughout the country, works on a contingency fee basis, and advances all costs. Floresca and brokerage firms Floresca worked for deny accusations of sales practice violations.
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