LPL Financial and Andrew Brookman


August 4, 2023

Type of alert:


ChapmanAlbin is suing LPL Financial for its failure to supervise the investment activities of its agent, Andrew Brookman. Brookman is a broker and investment advisor registered with the Financial Industry Regulatory Authority. As a 23-year veteran in the financial industry, Brookman has had multiple customer complaints filed against him. Among other things, Brookman has allegedly exposed his clients to financial risk when he failed to diversify their investments.

ChapmanAlbin is suing LPL Financial to recover more than $50,000 their client lost due to Brookman’s misconduct. Investment professionals have a responsibility to ensure that investments are diversified, meaning investments are spread out between multiple asset categories. When a broker or advisor “overconcentrates” their clients’ investments, they and their employer may be responsible for any losses. If you lost money due to your investment advisor’s misconduct, contact ChapmanAlbin today.

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Please note: We are unable to take cases with losses of less than $50,000.

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