Search for: "LPL Financial, LLC"
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22 Jun 2021, 7:37 am
McCallum consented to the suspension after FINRA alleged that from May 2017 through June 2019, while associated with LPL Financial LLC in Birmingham, Alabama, he made unsuitable recommendations to 12 customers, resulting in their overconcentration in a high-risk, publicly-traded business development company (BDC), believed to be Medley Capital Corporation. [read post]
15 Jun 2021, 1:36 pm
FINRA has suspended former LPL Financial LLC broker Jason Howell Poff from the securities industry. [read post]
14 Jun 2021, 1:05 pm
The post Ex-LPL Financial Advisor Paul McGonigle Charged with Defrauding Clients appeared first on The White Law Group. [read post]
14 Jun 2021, 8:09 am
Suyama consented to the suspension after FINRA alleged that in April 2019, while associated with LPL Financial LLC in McClean, Virginia, Mr. [read post]
8 Jun 2021, 11:52 am
., Wells Fargo, or LPL Financial LLC, contact FINRA arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account. [read post]
2 Jun 2021, 7:05 am
LPL Financial Broker James Couture Charged with Defrauding Clients According to a press announcement on June 1, 2020, the Securities and Exchange Commission charged former LPL Financial advisor James Kenneth Couture with defrauding his advisory clients by allegedly stealing approximately $2.9 million from them. [read post]
31 May 2021, 1:11 pm
From June 2008 through September 2016 Houser was registered with LPL Financial LLC. [read post]
28 May 2021, 1:40 pm
Thomas Rohan Woodstock Financial Group AXA Advisors, LLC John Schmidt Wells Fargo Advisors Financial Network, LLC Stifel, Nicholas, & Company Incorporated Christopher Wright LPL Financial LLC Private Advisor Group, LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
28 May 2021, 1:27 pm
Michael Goonan Equitable Advisors, LLC Park Avenue Securities LLC Eileen Kenny LPL Financial LLC Private Advisor Group, LLC Norma Kuklis William Kursim Fidelity Brokerage Services LLC National Financial Services LLC John Margain State Farm VP Management Corp. [read post]
28 May 2021, 1:17 pm
James Childress LPL Financial LLC Securities Service Network, Inc. [read post]
28 May 2021, 12:19 pm
Jason Anderson Merrill Lynch, Pierce, Fenner & Smith Incorporated LPL Financial LLC Solomon Apprey Pruco Securities, LLC AXA Advisors, LLC Ronald Bartsch Union Capital Company Liberty Partners Financial Services, LLC Spyridon Chandrinos Millennium Advisors, LLC Nelson Polun Wells Fargo Clearing Services, LLC Merrill… [read post]
28 May 2021, 10:52 am
LPL Financial LLC Zachary Bader National Securities Corporation Craig Scott Capital, LLC Peter Brown Oppenheimer & Co. [read post]
28 May 2021, 10:12 am
LPL Financial LLC For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
28 May 2021, 6:56 am
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Ryan Callahan State Farm VP Management Corp James Carpenter II LPL Financial LLC Edward Jones James Childress LPL Financial LLC Householder Group Financial Advisors, LLC Justyn Euan Wells… [read post]
28 May 2021, 1:44 am
He was previously registered with the following firms located in Hagerstown, Maryland: WFG Investments (July 2011 – February 2012), LPL Financial LLC (May 2010 – July 2011), and Edward Jones (April 2004 – May 2010). [read post]
28 May 2021, 1:44 am
He was previously registered with the following firms located in Hagerstown, Maryland: WFG Investments (July 2011 – February 2012), LPL Financial LLC (May 2010 – July 2011), and Edward Jones (April 2004 – May 2010). [read post]
17 May 2021, 12:59 pm
Simmons, Jr. was most recently registered as a broker with LPL Financial LLC in Gulf Breeze, Florida. [read post]
23 Apr 2021, 12:46 pm
FINRA has barred former LPL Financial LLC broker John Scott from the securities industry. [read post]
21 Apr 2021, 2:43 pm
LPL Financial LLC allowed Mr. [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]
