Advisor Alert: Our Attorneys Are Investigating Shaun B Floresca For Investment Fraud
Did You Lose Money Because of Shaun Floresca?
Filed: March 11, 2024
Shaun Floresca currently has one (1) pending customer complaint. Overall, he has been the subject of two (2) customer complaints and one (1) judgment/lien event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Shaun B Floresca.
Who Is Shaun B Floresca of LPL Financial LLC?
- Advisor Name: Shaun B Floresca
- Aliases: Shaun Floresca
- CRD: 4758697
- Location: Chicago, Illinois
- Current Employer: LPL Financial LLC
- Previous Firms: Cuna Brokerage Services, Inc., and Chase Investment Services Corp.
- Number of Known Customer Complaints: 2
- Number of Known Judgment/Lien Events: 1
- Can Shaun Floresca Be Sued: Yes, in Private Arbitration
- Can Shaun Floresca’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $85,000
- Highest Settlement: $35,000
If you have suffered investment losses by Shaun Floresca, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Shaun Floresca For Broker Misconduct
As of this publication date, Shaun Floresca has been the subject of 2 customer disputes and 1 judgment/lien event. Let’s review them below.
In January 2024, a FINRA arbitration was filed against or in reference to Shaun Floresca by a customer of Calton & Associates, Inc. alleging that an investment made in 2014 was inappropriate for the customer’s investment objectives and risk tolerance. As of this publication date, this claim remains pending.
In February 2023, a FINRA arbitration was filed against or in reference to Shaun Floresca by a customer of LPL Financial LLC alleging that an investment made in June 2014 was inappropriate for the customer’s investment objectives and risk tolerance. Per the customer, he/she lost over $85,000 because of Mr. Floresca’s actions. On May 25, 2023, Mr. Floresca settled the claim for $35,000, and some or all of this amount may have been paid by Mr. Floresca’s employer and/or insurance carrier.
In February 2008, Shaun Floresca was the subject of a civil judgment or lien in the amount of $3,728.47. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
How To File A Claim Against Shaun Floresca of LPL Financial LLC (previously with Cuna Brokerage Services, Inc., and Chase Investment Services Corp.) To Get Your Money Back
If you have questions about Shaun Floresca, LPL Financial LLC, Cuna Brokerage Services, Inc., Chase Investment Services Corp., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.