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.

Allegations Against Mohammed Karim

FINRA started an investigation into financial advisor, Mohammed Karim of Lakeland, Florida after he was fired by Truist Investment Services in August 2025.  FINRA alleged that it was investigating allegations that Mr. Karim “used the former clients’ credit card for his own personal expenses” and “may have exerted influence over the clients to place his name on external accounts as the beneficiary”.  He did not cooperate with FINRA’s investigation, and as such, he was barred under FINRA Rule 8210. 

Background on Mohammed Karim

Mohammed Karim was licensed with Truist Investment Services from February 2021 to August 2025.   He worked in a Lakeland, Florida office, and has also been charged with theft and scheme to defraud by Polk County, Florida.

Is Truist Investment Services Liable for Customer Investment Losses?

FINRA standards provide that brokerage firms like Truist Investment Services must reasonably supervise the activities of their financial advisors.   Firms that fail to do so could be responsible for investor losses. 

Israels & Neuman Helps Investors 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.  Attorney David Neuman is licensed to practice law in Florida. If you were a client of Mohammed Karim and believe your financial advisor acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View BrokerCheck Report
• View FINRA AWC

Contact Israels & Neuman 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 are here to help you recover what you deserve.