Search for: "LPL Financial, LLC"
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31 May 2017, 6:07 am
The investment lawyers of Gana LLP are investigating the LPL Financial LLC’s (LPL) termination of former broker Christopher Russell (Russell) working out of the Huntsville, Alabama office. [read post]
25 Apr 2018, 12:37 pm
FINRA Sanctions LPL Financial for Supervisory Issues According to the Financial Industry Regulatory Authority on February 6, 2018, LPL Financial LLC (CRD #6413, Boston, Massachusetts) was issued an AWC in which the firm was censured and fined $375,000. [read post]
13 May 2017, 7:45 am
Our firm’s investment attorneys are investigating a complaint filed by the Commonwealth of Massachusetts Securities Division (Massachusetts) against LPL Financial LLC (LPL) and the firm’s broker Roger Zullo (Zullo) Zullo alleging that Zullo fabricated the financial suitability profiles of numerous LPL clients, selling them scores of large, illiquid, unsuitable, high-commission variable annuities, at substantial upfront profits to… [read post]
21 May 2013, 8:11 am
FINRA fined LPL Financial LLC (LPL) $7.5 million for 35 separate, significant email system failures, which prevented LPL from accessing hundreds of millions of emails and reviewing tens of millions of other emails. [read post]
5 Sep 2017, 12:27 pm
Finally, from 2004 to 2017, Camarco was associated with LPL Financial LLC. [read post]
27 May 2017, 7:49 am
Our firm is investigating claims made by regulators and brokerage firms including LPL Financial LLC (LPL Financial) concerning broker Paul Dorion (Dorion). [read post]
24 Sep 2015, 8:43 am
LPL Financial LLC has agreed to pay two more settlements, and these are big ones. [read post]
5 Jul 2017, 1:31 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), in November 2016, Thomas Oliphint (Oliphint) was discharged and terminated by LPL Financial LLC (LPL) over allegations that Oliphint violated firm policy regarding outside business activities. [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]
14 Jun 2018, 3:52 pm
Silver Law Group is investigating former Colorado Springs, Colorado-based LPL Financial LLC broker Sonya Camarco (CRD# 2427529) after FINRA permanently barred her from the industry. [read post]
18 Sep 2009, 7:32 am
The brokerage firms of Next Financial and LPL Financial have both been added as defendants in a Bexar County, Texas, lawsuit that claims an elderly San Antonio couple -Thomas H. [read post]
17 Jul 2019, 1:56 pm
The White Law Group announces the filing of another FINRA Lawsuit against LPL Financial LLC The White Law Group announces filing of a FINRA Arbitration lawsuit today. [read post]
8 Dec 2019, 2:18 pm
Advisor Steven Case (Case), currently employed by LPL Financial LLC (LPL Financial) has been subject to at least two customer complaints during the course of his career. [read post]
22 Jan 2021, 11:28 am
James Couture (James Kenneth Couture CRD#: 4460284) is a former registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Worchester, MA. [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]
27 Mar 2014, 12:14 pm
LPL Financial LLC has been hit again for supervisory failures stemming from the recommendation of non-traded real estate investment trusts (REITs), as well as other illiquid investments, begging the question whether the fines are large enough to deter future bad conduct. [read post]
31 Oct 2018, 12:41 pm
FINRA Sanctions LPL for Complaint Reporting Violations and AML Program Failures According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has fined LPL Financial LLC $2.75 million for complaint-reporting and anti-money laundering program failures over a three year period. [read post]
11 Feb 2013, 7:51 am
The honor is based on a ranking of all registered advisors supported by LPL Financial LLC, the nation’s largest independent broker-dealer, and is awarded to less than 1% of the [read post]
20 Dec 2017, 2:29 pm
On December 18, 2017, LPL Financial LLC (“LPL”) lost a FINRA arbitration concerning customer claims related to former LPL broker Charles Fackrell. [read post]
11 Aug 2015, 4:42 am
Interesting interview with former LPL OSJ about his team's move from LPL to the more responsive Securities America.Financial Advisor IQ - Ex-LPL Team Gets Fewer Headaches at Securities America---------Mark Astarita and the attorneys at Sallah Astarita & Cox, LLC represent brokers and OSJs across the country who are changing, or considering changing, broker dealers. [read post]
