Allegations Against Buddy Dean Mason

FINRA investigated Mason regarding allegations that he presented a customer with an investment opportunity “away” from his former brokerage firm, LPL Financial, and that the purported investment “resulted in losses”.  Generally, financial advisors must have permission from their brokerage firm for every investment that they sell.  Mason refused to respond to FINRA’s investigation regarding these allegations.

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

Background on Buddy Mason

Buddy Mason was licensed with LPL Financial from August 2019 to January 2026 at a Lakeland, Florida office.  He was previously licensed with a number of other firms going back to 1987 and has also been the subject of two customer complaints in the last year, both of which settled.

Can LPL Financial Be Liable to its Customers for Mason’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 Victims of Investment Fraud in Florida

We represent investors throughout the United States as well as Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  We have represented numerous investors in Florida in the past, and attorney David Neuman is licensed to practice law in Florida.  If you were a client of Buddy Mason and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Mason’s BrokerCheck Report
• View Mason’s FINRA AWC

Contact the Law Firm of Israels & Neuman for a Free and Confidential Consultation

Call us at (720) 599-3505 or (206) 795-5798

or fill out our contact form to learn more about your rights. We have experience representing Florida investors and are ready to help you recover the money you deserve.