Search for: "LPL Financial, LLC"
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23 Nov 2014, 11:58 am
According to InvestmentNews, LPL Financial, LLC (LPL Financial) was recently fined by Massachusetts securities regulators fined for sales practices concerning variable annuities and agreed to reimburse senior citizens $541,000 for surrender charges they paid when they switched variable annuities. [read post]
25 Apr 2014, 6:30 am
On March 24, 2014, LPL Financial LLC, the fourth largest broker dealer, measured by number of salespersons, was fined $950,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise the way that its brokers marketed and sold nontraditional investments. [read post]
28 Nov 2011, 9:47 am
According to the investmentnews.com Oregon regulators in charge of securities have fined LPL Financial LLC $100,000 “for failing to supervise a broker that sold high-risk oil and gas partnerships to clients, including many who are elderly. [read post]
28 Nov 2011, 11:46 am
LPL Financial LLC was fined $100,000 by the Oregon Department of Consumer and Business Services for unsuitable sales of high-risk oil and gas partnerships to clients, including many who are elderly, in poor health, and incapable of making financial decisions (“LPL fined over sales of risky partnerships to seniors,” InvestmentNews). [read post]
24 Aug 2018, 6:34 am
The post LPL Agrees to $26 Million Settlement Following Allegations of Selling Unregistered Securities appeared first on Zamansky LLC. [read post]
1 Feb 2019, 8:06 am
Suhail Saleem Khan (CRD #3168241) is a former registered broker and investment advisor who was last employed with LPL Financial LLC (CRD #6413) of Chicago, IL. [read post]
7 Jan 2020, 9:33 am
Prior to joining LPL Financial in 2018, Booth was registered with Invest Financial Corporation. [read post]
15 Jun 2015, 8:01 am
The Financial Industry Regulatory Authority (FINRA) entered into an agreement whereby the regulatory fined LPL Financial LLC (LPL) and fined it $10 million for broad supervisory failures in a number of key areas, including the sales of non-traditional exchange-traded funds (Non-Traditional ETFs), certain variable annuity contracts, non-traded real estate investment trusts (Non-Traded REITs) and other complex products, as well as its failure to monitor and… [read post]
14 Feb 2012, 2:22 pm
LPL Financial recently was ordered to pay $1.4 million to an elderly California couple who alleged that the firm defrauded them when it sold them tenant in common investments. [read post]
30 May 2014, 6:44 am
In settling this matter, LPL Financial LLC neither admitted nor denied the charges, but consented to the entry of FINRA’s findings. [read post]
4 Sep 2015, 4:47 am
The Financial Industry Regulatory Authority (FINRA) barred former LPL Financial LLC (LPL) broker Thomas Caniford (Caniford) after the broker failed to respond to a letter from the regulator requesting information. [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]
22 Aug 2019, 1:56 pm
Customers of former LPL Financial LLC (“LPL”) broker Kerry Hoffman (“Hoffman”) of Chicago, Illinois may have arbitration claims if they purchased unregistered GT Media Inc. on behalf of their clients between July 2015 and July 2018. [read post]
28 Oct 2011, 5:52 am
LPL Financial LLC expects to lose 100 bank brokers this quarter due to the continuing integration of Uvest Financial Services Group Inc., its broker-dealer that specializes in serving financial advisers that work with financial institutions. [read post]
7 Oct 2014, 7:31 am
LPL Financial, LLC (LPL) is one of the largest independent brokerage firms in the United States employing approximately 13,840 registered reps and advisers. [read post]
15 Dec 2014, 8:01 am
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against LPL Financial LLC (LPL) broker Jon Cox (Cox) alleging that Cox may have engaged in unauthorized outside business activities, private securities transactions (a/k/a “selling away”), and/or unauthorized customer loans. [read post]
18 Jan 2018, 7:24 am
Are you concerned about losses investing with Charles Fackrell and LPL Financial? [read post]
8 Oct 2015, 6:37 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and suspended for two year broker Walter Chao (Chao) (FINRA No. 2012034046301) alleging that between February and May 2012, while registered with LPL Financial LLC (LPL Financial), Chao participated in nine private securities transactions totaling $1.27 million without LPL’s approval. [read post]
13 Feb 2015, 6:50 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned former LPL Financial LLC (LPL) broker Marc Baldinger (Baldinger) concerning allegations that between August 2010 and November 2012, Baldinger participated in private securities transactions (a/k/a “selling away”) without prior approval of LPL. [read post]
27 Sep 2022, 11:48 am
Her last known employer was LPL Financial LLC (CRD#:6413) of West Palm Beach, FL. [read post]
