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Broker Spotlight: LPL Financial’s Susan Ciucci

Susan Ciucci The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Illinois-based H. Beck broker Susan Ciucci (CRD# 1136921).

Susan Ciucci has spent 31 years in the securities industry and has been registered with H. Beck in Chicago, Illinois since 2010. Previous registrations include LPL Financial Corporation in Chicago, Illinois (2005-2010); PEB Financial Group in Chicago, Illinois (1984-2005); and LINSCO/Private Ledger Corporation in Boston, Massachusetts (2005). She is a registered broker in fourteen US states: Alaska, Arizona, California, Florida, Illinois, Indiana, Kentucky, Maryland, Michigan, Nevada, Tennessee, Utah, Washington, and Wisconsin.

According to her BrokerCheck report, Susan Ciucci is the subject of one customer complaint and one denied customer complaint, and was discharged from her position at LPL Financial Corporation.

In 2013 a customer alleged Susan Ciucci, while employed at H. Beck, “failed to establish and maintain a compliant 457(F) deferred compensation plan as recommended.” The complaint settled in 2014 for $60,000.

In 2010 Susan Ciucci was discharged from her position at LPL Financial following allegations she “solicited existing clients for an investment she was not yet appointed to sell.”

In 2006 a customer alleged Susan Ciucci, while employed at PEB Financial, executed an unauthorized and unsuitable annuity purchase. The customer sought $10,000 in damages in the complaint, which was closed with no action taken.

If you or someone you know has lost money investing with Susan Ciucci, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: Fitapelli Kurta only receives payment if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.