Richard Alan Maas, Broker with LPL Financial, Named in Customer Dispute Alleging Lack of Diversification

INVESTORS: LPL Financial broker Richard Alan Maas was named in a customer dispute alleging lack of diversification.

Richard Alan Maas (CRD: 5921560) is registered as a broker and investment adviser with LPL Financial, where he’s been employed since May 2022. Previously, Maas was registered as a broker with Cambridge Investment Research from 2001 until 2022.

Maas has one disclosure on his BrokerCheck report. 

May 2022 Customer Dispute

Status: Pending

Allegations: Statement of claim alleges an investment recommendation was made for the purpose of generating high commissions and fees that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

The Sonn Law Group is currently investigating allegations surrounding Richard Alan Maas. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.


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