Paulette Treguboff: LPL Advisor Receives $650K Complaint

Glendale, Arizona financial advisor Paulette Treguboff (CRD# 2699595) recently received an investor complaint alleging that she recommended an unsuitable investment. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with LPL Financial, doing business as Homestead Wealth Management.

Ms. Treguboff’s BrokerCheck report discloses two investor complaints. The most recent, filed in August 2026, alleges that as a representative of LPL Financial, she failed to act in the customer’s best interest when she made an unsuitable investment recommendation. The pending complaint alleges damages of $650,000.

In a statement included with the complaint’s disclosure, Ms. Treguboff denied the allegations and described them as 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,” she wrote. “At all times, the representative put the customer’s interest first.”

A second investor complaint, filed in 2002, alleged that as a representative of UBS Painewebber, she breached her fiduciary duty, committed fraud, acted negligently, made misrepresentations of material facts, and recommended unsuitable investments, resulting in an over-concentration in technology and internet mutual funds. The complaint reached a settlement of $27,000.

According to the Financial Industry Regulatory Authority, Paulette Treguboff holds 30 years of securities industry experience. Based in Glendale, Arizona, she has been registered as a broker and an investment advisor with LPL Financial since 2020, doing business as Homestead Wealth Management. Her past registrations include Morgan Stanley, Morgan Stanley DW, UBS Painewebber, and Salomon Smith Barney. Her credentials include the passage of five 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; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. She holds 40 state licenses. (Information current as of November 1, 2026.)

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