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James Andreaggi Fired from LPL Financial Over Alleged Mislabeling of Trades

Jan 24, 2023 General

James Andreaggi (CRD #: 1298820), a broker formerly registered with LPL Financial, was fired from the firm, according to his BrokerCheck record, accessed on January 17, 2023. Read on if you have questions about his alleged conduct as a broker.

Termination from LPL Financial

On November 17, 2022, James Andreaggi was fired from LPL Financial after allegedly failing to accurately mark transactions as solicited or unsolicited. Unsolicited trades do not undergo a suitability review by the firm, making it possible for overly risky investments to fly under the radar. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Marking trades incorrectly could violate this rule. 

Background Information

James Andreaggi has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 24 – General Securities Principal Examination

He previously worked for the following firms:

  • LPL Financial (CRD#:6413)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • PaineWebber (CRD#:8174)
  • Chatfield Dean & Company (CRD#:14714)

Kurta Law Can Help

If you worked with James Andreaggi and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.