Joe Lauzon: $538K Complaint Against LPL Advisor

Clovis, California financial advisor Joe Lauzon (CRD# 2773510) recently received an investor complaint alleging that his conduct resulted in damages exceeding $500,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial.

Mr. Lauzon’s BrokerCheck report discloses one investor complaint. Filed in February 2025, it alleges that he “fraudulently transferred funds” from an account belonging to his and the claimant’s father’s IRA account. The pending complaint alleges damages of $538,250.

Investors should be aware that under FINRA Rule 2010, brokers like Mr. Lauzon must “observe high standards of commercial honor and just and equitable principles of trade.” This is a broad rule that can be applied to a range of unethical conduct, including fraudulent transfers of account assets. Brokers who violate FINRA Rule 2010 may be held liable for damages and/or subject to disciplinary action by securities regulators.

According to the Financial Industry Regulatory Authority, Joe Lauzon holds 27 years of securities industry experience. Based in Clovis, California, he has been registered as a broker and an investment advisor with LPL Financial since 2006. His registration history includes Wachovia Securities (Fresno, California; 2003-2006), Prudential Securities (Fresno, California; 2002-2003), and UBS Painewebber (1987-2002). His credentials include the passage of four securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in Alaska, Arizona, California, Maryland, Minnesota, Nevada, New Mexico, North Carolina, Oregon, Texas, and Washington. (Information current as of April 12, 2025.)

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.