DID JAMES THOMAS CASSA CAUSE YOU INVESTMENT LOSSES?
About James Cassa of LPL Financial LLC?
James Cassa (CRD #2655896) is currently employed by LPL Financial LLC since March 2009, operating out of Paramus, New Jersey. He holds licenses in 15 U.S. states and territories, registered with one self-regulatory organization (SRO), and has passed four general industry/product exams and two state securities law exams. Cassa previously worked for Citigroup Global Markets Inc. and C.J.M. Planning Corp. He also manages various other business activities, including providing CPE credits for CPAs and offering non-variable insurance services through Creative One and Life Policy Pros.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
James Cassa Customer Complaints and Reviews
Total Incidents: 1 pending customer dispute
- Pending Dispute:
- Date: Notice received on March 19, 2024
- Allegations: Customers allege unexpected tax liabilities resulting from investment recommendations to surrender their variable annuities between November 2021 and April 2023.
- Product Type: Variable annuity
- Alleged Damages: Over $5,000 (exact amount undetermined)
- Forum: FINRA Arbitration, Docket/Case #: 24-00599
Allegations Against James Cassa
- Pending Dispute: Allegations that recommendations to surrender variable annuities resulted in unexpected tax liabilities, contrary to the clients’ investment objectives.
James Cassa Red Flags & Your Rights As An Investor
Of course, James Cassa did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Cassa at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether James Cassa has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To James Cassa
If you have questions about LPL Financial LLC and/or James Cassa and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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