Search for: "LPL FINANCIAL LLC"
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1 Aug 2022, 7:00 am
Ex-Windsor, Georgia Investment Adviser Was Fired by Hamilton Investment Counsel and LPL The US Securities and Exchange Commission (SEC) has filed civil charges against Eric Shea Hollifield, a former LPL Financial broker and registered investment adviser with Hamilton Investment Counsel, LLC in Georgia. [read post]
1 Aug 2022, 4:04 am
LPL Financial LLC, Respondent (FINRA Arbitration Award)FINRA Small Firms Face Existential Crisis. [read post]
25 Jul 2022, 12:46 pm
The post FINRA Award: LPL, Financial Resources to Pay Investors $2.6M appeared first on The White Law Group. [read post]
12 Jul 2022, 11:22 am
Filing a Claim against your Brokerage Firm According to his broker record, Hollifield was reportedly affiliated with the following FINRA registered firms, among others, during his career in the securities industry: 10/14/2016 – 09/10/2021, LPL FINANCIAL LLC (CRD#:6413), DACULA, GA 09/19/2008 – 11/11/2016, STERNE AGEE FINANCIAL SERVICES, INC. [read post]
5 Jul 2022, 9:04 am
Henry Moore LPL Financial LLC Summit Brokerage Services, Inc. [read post]
1 Jun 2022, 8:46 am
Pruco Securities, LLC Guy Kossuth Northwestern Mutual Investment Services, LLC NYLife Securities LLC Christopher McFadden Equitable Advisors, LLC LPL Financial LLC Ann Montgomery LPL Financial LLC National Planning Corporation Michael Pau MML Investors Services, LLC MSI Financial Services, Inc. [read post]
31 May 2022, 8:09 am
LPL Financial LLC, Respondent (FINRA Arbitration Award)AML Update: The Latest Trends and Effective Practices (FINRA Unscripted)FINRA Arbitrator Denies Expungement of One Item but Recommends Expungement of SecondIn the Matter of the Arbitration Between David John Kimura, Claimant, v. [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]
27 Apr 2022, 12:56 pm
According to FINRA Disciplinary actions for March 2022, 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 Joseph Likens LPL Financial LLC Cornerstone Wealth Management, LLC Guy Newman GVC Capital LLC Bathgate Capital Partners LLC John Santariello Arive Capital Markets… [read post]
8 Apr 2022, 6:52 am
Clason Charged with Stealing Client’s FundsFINRA Hits LPL Financial with $6M for Supervisory Failures Matthew Clason was reportedly dually registered with Integrated Wealth Concepts and LPL Financial from October 2016 until September 2020 in Glastonbury, CT. [read post]
25 Mar 2022, 8:35 am
Ex-LPL Broker Jonathan Cooke found liable in Annuities Fraud Scheme The Securities and Exchange Commission has won a jury trial against former LPL Financial broker Jonathan Cooke after the regulator charged him with defrauding hundreds of government employees. [read post]
24 Mar 2022, 8:51 am
., CRD# 5856503), 38, is a former registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Red Bank, NJ. [read post]
18 Mar 2022, 8:52 am
Regulator inquires if Merrill Lynch, LPL Financial, and others are raising rates. [read post]
15 Mar 2022, 12:18 pm
According to his broker report, Mario Rivero Jr. was affiliated with the following firms during his career in the securities industry: 09/28/2020 – 06/04/2021, LPL FINANCIAL LLC (CRD#:6413), RED BANK, NJ, 12/02/2010 – 10/01/2020, WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616), ELIZABETH, NJ How to Recover Financial Losses When brokers violate securities laws, such as making unauthorized… [read post]
8 Feb 2022, 12:58 pm
Couture’s alleged scheme, while reportedly registered with LPL Financial, included convincing some of his clients to transfer assets to a separate company he created called Legacy Financial LLC. [read post]
2 Feb 2022, 10:03 am
He was affiliated with the following firms during his career in the securities industry: 02/14/2018 – 06/28/2019, LPL FINANCIAL LLC (CRD#:6413), NEW BEDFORD, MA, 07/16/1998 – 02/14/2018, SII INVESTMENTS, INC. [read post]
24 Jan 2022, 2:01 pm
LPL Financial Corporation Juanita O’Neal TD Ameritrade, Inc. [read post]
24 Jan 2022, 1:43 pm
Morgan Securities LLC Ganesh Iyer Morgan Stanley LPL Financial LLC Calvin Kleinmann Wells Fargo Clearing Services, LLC Wells Fargo Advisors, LLC Christopher Pierce Oppenheimer & Co. [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]
6 Dec 2021, 1:00 pm
Morgan Securities LLC Tara Pierce LPL Financial LLC Investment Centers of America, Inc. [read post]
