Search for: "LPL Financial, LLC" Results 1 - 20 of 464
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17 May 2021, 12:59 pm by Iorio Altamirano
Simmons, Jr. was most recently registered as a broker with LPL Financial LLC in Gulf Breeze, Florida. [read post]
4 Jun 2023, 4:11 am by Stoltmann Law
LPL Financial Holdings, Inc.CHARLOTTE, N.C., May 31, 2023 (GLOBE NEWSWIRE) -- LPL Financial LLC announced today that financial advisor Neil Pettes, CFP® and the team at Individual Financial Services have returned to LPL Financial’s broker-dealer, RIA and custodial platforms. [read post]
14 Jun 2023, 8:25 am by Stoltmann Law
., June 14, 2023 (GLOBE NEWSWIRE) -- LPL Financial LLC announced today that financial advisor Brian Olson CFP®, has joined LPL Financial’s broker-dealer, RIA and custodial platforms. [read post]
20 Sep 2023, 11:39 am by Greco & Greco, P.C.
On July 25, 2023, the Financial Industry Regulatory Authority (FINRA) issued a Letter of Acceptance, Waiver, and Consent (AWC) against LPL Financial LLC, a prominent independent securities broker headquartered in Fort Mill, South Carolina. [read post]
24 Jun 2021, 4:58 pm by Iorio Altamirano
FINRA has suspended former LPL Financial LLC broker Eric Burton from the securities industry for 3 months for allegedly falsifying documents that he submitted to LPL in connection with twenty two variable annuity (“VA”) exchanges. [read post]
23 Apr 2021, 12:46 pm by Iorio Altamirano
FINRA has barred former LPL Financial LLC broker John Scott from the securities industry. [read post]
8 Jun 2023, 6:12 am by Stoltmann Law
., June 08, 2023 (GLOBE NEWSWIRE) -- LPL Financial LLC announced today that financial advisors Todd Rosel, AAMS, and Larry D. [read post]
7 Jun 2023, 3:53 am by Stoltmann Law
., June 06, 2023 (GLOBE NEWSWIRE) -- LPL Financial LLC announced today that financial advisor Digger Bujnoch CFP®, and the team at Hoff Bujnoch & Associates has joined LPL Financial’s broker-dealer, RIA and custodial platforms. [read post]
2 Nov 2021, 7:24 am by Iorio Altamirano
FINRA has barred former LPL Financial LLC broker Eric Shea Hollifield from the securities industry. [read post]
4 Sep 2021, 5:52 am by Iorio Altamirano
FINRA has suspended and fined former LPL Financial LLC broker Joffre Salazar from the securities industry for one year. [read post]
26 Feb 2021, 1:53 pm by Iorio Altamirano
Continue reading The post Moab, Utah Financial Advisor Scott Hansen, Formerly of LPL Financial LLC, Suspended by FINRA appeared first on Securities Arbitration Lawyer Blog. [read post]
26 May 2015, 11:32 am by Lax & Neville LLP
On May 6, 2015, LPL Financial LLC (“LPL”) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) to the Financial Industry Regulatory Authority’s (“FINRA”) Department of Enforcement to settle allegations that LPL violated FINRA supervisory rules. [read post]
13 Apr 2023, 5:17 am by Zamansky LLC
The post Zamansky LLC Investigates Potential Investment Fraud Claims Against Former LPL Financial Advisor John Nicholas Matson appeared first on Zamansky LLC. [read post]
5 Nov 2021, 11:36 am by Iorio Altamirano
FINRA has suspended former LPL Financial LLC broker Michael Miles Hartlett from the securities industry for ten business days. [read post]
15 Jun 2021, 1:36 pm by Iorio Altamirano
FINRA has suspended former LPL Financial LLC broker Jason Howell Poff from the securities industry. [read post]
7 Mar 2024, 1:09 pm by Greco & Greco, P.C.
Background: LPL Financial LLC LPL Financial LLC, a long-standing member of FINRA since 1973, operates as a significant player in the securities industry and is one of the larger “independent” FINRA firms. [read post]