Search for: "LPL Financial, LLC"
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2 Oct 2018, 5:44 am
According to FINRA Disciplinary actions for September 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Heath Bowen Allegis Investment Services, LLC Signator Financial Services, Inc William Eaton LPL Financial, LLC Wells Fargo Advisors, LLC Yosef Fox Ditto… [read post]
22 Jun 2015, 6:17 am
From March 2006 until February 2014, Hackney was associated with LPL Financial LLC (LPL). [read post]
FINRA Bars John Edgar Simmons, Jr. After Allegations Of Engaging In A Private Securities Transaction
7 Oct 2021, 12:31 pm
(CRD: #4878890) is a former registered broker and insurance advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Gulf Breeze, FL. [read post]
10 Nov 2023, 7:29 am
John Terzis (John Nicholas Terzis CRD# 1805020) is a previously registered broker and investment advisor last employed with LPL Financial LLC (CRD# 6413) of Skokie, IL. [read post]
21 Apr 2021, 6:33 am
Christopher Black (CRD#5049080, aka Chris Bryan Black) is a former registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Statesboro, GA. [read post]
4 Jan 2022, 10:06 am
Eric Hollifield (Eric Shea Hollifield CRD:# 3091319) is a former registered broker and investment advisor whose last employer was LPL Financial LLC (CRD#:6413) of Dacula, GA. [read post]
22 Jan 2019, 8:43 am
His previous employers include LPL Financial LLC (CRD #6413), National Planning Corporation (CRD #29604) and Invest Financial Corporation (CRD #12984), all of Dallas. [read post]
20 Dec 2018, 10:19 am
(CRD #17587) and LPL Financial LLC (CRD #6413), also of Pacific Grove, CA. [read post]
13 Dec 2017, 1:47 pm
Registered representative JoeAnn Walker (CRD# 2210194) was previously affiliated with Commonwealth Financial Network (1998-2006), LPL Financial LLC (2006-2015), and most recently, NEXT Financial – until her termination by her former employer in October. [read post]
23 Feb 2018, 2:45 am
Based on his purported failure to report his criminal infraction to his employer, LPL Financial LLC (“LPL”) (CRD# 6413), Mr. [read post]
18 Mar 2022, 8:52 am
Regulator inquires if Merrill Lynch, LPL Financial, and others are raising rates. [read post]
3 Dec 2013, 6:50 am
Brown was formerly registered with FINRA firm LPL Financial Corporation (LPL Financial) from 1989 through May 2009. [read post]
7 May 2020, 9:51 am
Woods, LPL Financial, Louisville, KY Donald S. [read post]
2 May 2022, 2:10 pm
John Agostino LPL Financial LLC Wells Fargo Advisors LLC Adam Schachter PM Wealth Management LLC LPL Financial LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
23 Dec 2013, 2:21 am
In 1990, Caldero entered the securities industry and during the times relevant to this matter was registered with FINRA member firm LPL Financial LLC. [read post]
20 Jul 2015, 3:15 am
, Respondent (AWC #20015044377401, July, 16, 2015).Clark entered the industry in 2007 and was registered with LPL Financial LLC fr... [read post]
5 Aug 2013, 4:11 am
In the Matter of Michael Jeffery Wiseman, Respondent (AWC 2012031332001, July 30, 2013).Wiseman first became registered in 1987 and from 2007 to June 14, 2012, he was registered with LPL Financial LLC, until his June 14, 2012 discharge. [read post]
24 Jan 2019, 12:46 pm
Bradley Taylor Pace (CRD #2097427) is a previously registered broker whose last employer was LPL Financial LLC (CRD #6413) of Orlando, FL. [read post]
21 Jun 2018, 1:24 pm
(CRD #13366), brokersXpress LLC (CRD #127081, now defunct), and LPL Financial Corporation (CRD #6413), also of Lighthouse Point, Florida. [read post]
11 Apr 2014, 3:11 pm
The FINRA fine that topped the list was that handed to, again, LPL Financial LLC in the amount of $9 million (including a fund set up to compensate customers) for "systemic email failures" and "misstatements to FINRA," reported on May 21, 2013. [read post]
