DID SANDIP NALIN SHAH CAUSE YOU INVESTMENT LOSSES?
Sandip Shah was fired from LPL Financial in January 2025, for allegedly failing to report and receive prior approval for an outside business activity and submitting account documents containing non-genuine signatures.
Who is Sandip Shah formerly with LPL Financial?
Sandip Shah (CRD #4608275) who was formerly registered as a broker with LPL Financial and located in Rolling Meadows, Illinois is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Sandip Shah Employment History and Termination
Sandip N. Shah has over two decades of experience in the financial industry, having worked for five different firms. From 2009-2025. His most recent registration was with LPL Financial LLC from September 2023 to January 2025. Prior to that, he had a long tenure at Sigma Financial Corporation from July 2010 to September 2023 and a brief tenure with Jesup & Lamont Securities Corp (2009-2010
Shah has passed two general industry/product exams and one multi-state securities law exam, but he has not completed any principal or supervisory exams. He is currently not registered as a broker.
On January 3, 2025, he was discharged from LPL Financial LLC due to alleged violations involving outside business activity and non-genuine signatures on account documents.
Negative Disclosures Summary
Total number of disclosures: 1
- Employment Termination January 3, 2025
- Firm: LPL Financial LLC
- Reason: Discharged for failing to report and receiving prior approval for an outside business activity and submitting account documents containing non-genuine signatures.
Sandip Shah Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Sandip Shah is a red flag which should put all current and former customers of Sandip Shah at LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Sandip Shah engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial 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 Due To Sandip Shah
If you have questions about LPL Financial and/or Sandip Shah 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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