Search for: "LPL Financial, LLC"
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26 Jul 2021, 8:00 am
FINRA has barred former LPL Financial LLC broker Jason LaBelle from the securities industry. [read post]
17 Feb 2021, 12:58 pm
Tavel was registered with broker-dealer LPL Financial LLC from 2004-2019, operating out of Indianapolis, Indiana. [read post]
5 Jun 2023, 10:05 am
Lawrence Joins LPL Financial to Launch Independent Practice CHARLOTTE, N.C., June 05, 2023 (GLOBE NEWSWIRE) -- LPL Financial LLC announced today that financial advisor Amy S. [read post]
8 Dec 2022, 7:35 am
To learn more about LPL Financial please see: LPL Financial Lawsuit Alleges Unsuitable Alternative Investments The post LPL Financial Sanctioned for Failure to Supervise appeared first on The White Law Group. [read post]
15 May 2018, 1:21 pm
Camarco of LPL Financial LLC appeared first on Securities Arbitration Lawyers Blog. [read post]
26 Jul 2018, 10:32 am
Contact Our Firm if You’ve Invested with Joshua Ellis Continue reading The post Silver Law Group is Investigating Joshua Ellis of LPL Financial LLC appeared first on Securities Arbitration Lawyers Blog. [read post]
26 Jul 2018, 1:13 pm
Contact Our Firm if You’ve Invested with Sanders Spangler Continue reading The post Silver Law Group is Investigating Sanders Spangler of LPL Financial LLC appeared first on Securities Arbitration Lawyers Blog. [read post]
20 Jan 2023, 12:22 pm
Couture and LPL Financial for Investment Fraud, Theft of Customer Funds appeared first on Zamansky LLC. [read post]
29 Mar 2011, 2:06 pm
Earlier this month, LPL Financial, LLC was fined $100,000 by the Financial Industry Regulatory Authority ("FINRA") for failing to maintain supervisory procedures to catch a representative who was transferring assets from a customer account to the broker's personal account with the firm. [read post]
8 May 2015, 10:42 am
On the heels of an announcement from the Financial Industry Regulatory Authority (FINRA) that LPL Financial LLC has been fined approximately $12 million as a result of lax supervision, FINRA barred former LPL broker Charles Fackrell as a result of him refusing to comply with FINRA’s request for information. [read post]
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]
31 Jan 2019, 1:01 pm
The Maryland Attorney General’s office has reached a settlement with LPL Financial LLC, requiring the firm to repurchase certain securities and pay civil penalties, the office announced Thursday. [read post]
2 Jul 2020, 7:35 am
Senior Investors Lose Money in Risky Structured Product Tied To Price of Oil An elderly retiree couple has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against LPL Financial, LLC and its broker, Bret Alexander Hartman, to recover losses they sustained in a structured product tied to the price of oil. [read post]
11 Dec 2018, 9:53 am
See Fidelity Brokerage Services, LLC, Rel. [read post]
20 Jun 2019, 7:37 am
The post LPL Financial LLC | Lawsuit Filed Today appeared first on The White Law Group. [read post]
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]
31 Oct 2017, 2:07 pm
On October 24, 2017, the New Jersey Bureau of Securities (the “Bureau”) entered into a Consent Order (“Order”) with Boston-based brokerage firm LPL Financial, LLC (CRD# 6413) (“LPL”), in connection with LPL’s sales of certain non-traded investment products to residents of New Jersey. [read post]
15 Jul 2015, 11:07 am
(collectively, “Raymond James”), and LPL Financial LLC (“LPL”) must pay over $30 million to investors who were overcharged on mutual fund sales for certain accounts. [read post]
24 May 2019, 9:32 am
Nalesnik previously worked at IDS Life Insurance Company, American Express Financial Advisors, CCO Investment Advisors and, for almost a decade, LPL Financial, LLC. [read post]
1 Nov 2017, 5:47 am
The securities lawyers of Gana LLP are investigating customer complaints against former LPL Financial LLC (LPL Financial) Broker Daniel Pugel (Pugel). [read post]
