Former LPL Financial Advisor Rudy Anguiano Barred

Did you invest with Rudy Anguiano, formerly at LPL Financial? Our securities arbitration law firm is looking into allegations involving Rudy Anguiano, who worked in a Brea, California office.

Allegations Regarding Rudy Anguiano’s Suspension

FINRA investigated Anguiano regarding allegations that he received $1.7 million from LPL customer accounts between 2023 and 2025. Anguiano was alleged to have sent the money to an LLC which Anguiano controlled. The customers did not authorize the transfers to the LLCs.

As such, FINRA barred Anguiano from the securities brokerage industry.

Background on Rudy Anguiano

Rudy Anguiano was licensed with LPL Financial from April 2022 to December 2025 at a Brea, California office. Anguiano was previously licensed with a number of other firms going back to 2007. Anguiano was also fired by LPL Financial.

Can LPL Financial Be Responsible for Anguiano’s Conduct?

Under FINRA Rule 3110, broker-dealers like LPL Financial must reasonably supervise the activity of its advisors. LPL Financial could be responsible for investor losses if it failed to reasonably supervise him.

Israels & Neuman Helps Investors Recover Losses in California

We represent investors throughout the United States as well as California, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud. We have represented numerous investors in California in the past. If you were a client of Rudy Anguiano and believe your financial advisor acted improperly, you may be entitled to recover losses through FINRA arbitration.

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. We have experience representing California investors and are ready to help you recover what you deserve.

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