Beaux Treguboff: LPL Financial Advisor Receives $650K Complaint

A recent investor complaint against Glendale, Arizona financial advisor Beaux Treguboff (CRD# 5533615) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Homestead Wealth Management.

Mr. Treguboff’s BrokerCheck report discloses one investor complaint. Filed in August 2026, it alleges that as a representative of LPL Financial, he failed to act in the customer’s best interest by making an unsuitable investment recommendation. The pending complaint alleges damages of $650,000.

In comments included with the complaint’s disclosure, Mr. Treguboff denied wrongdoing and asserted that the allegations against him were meritless. “The investments about which the customer complained were suitable and were recommended based on the customer’s objectives, goals and financial circumstances and were offered only after reviewing all material documentation related to the investments,” he wrote. “At all times, the representative put the customer’s interest first.”

An unsuitable investment or investment strategy, according to FINRA Rule 2111, is one which a broker lacks a reasonable basis to believe is appropriate for the client’s investment profile. An investor’s profile is based on information including their “age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance,” and more. Brokers like Mr. Treguboff are required to perform reasonable diligence to determine a customer’s profile; then, they must use this information to make a determination as to whether an investment or strategy is not only suitable for some customers, but the specific customer they’re dealing with. Brokers who fail to recommend suitable investments may be held liable in the event of losses.

According to the Financial Industry Regulatory Authority, Beaux Treguboff holds 18 years of securities industry experience. Based in Glendale, Arizona, he has been registered as a broker and an investment advisor with LPL Financial since 2020. He was previously registered with Morgan Stanley. His credentials include the passage of four securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Futures Managed Funds Examination, or Series 31; the General Securities Representative Examination, or Series 7; and the Uniform Combined State Law Examination, or Series 66. He holds 39 state licenses. (Information current as of September 19, 2026.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.