Search for: "LPL Financial, LLC"
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7 Nov 2017, 4:37 pm
On April 12, 2016, former LPL Financial LLC (“LPL”) broker Charles C. [read post]
15 Feb 2012, 8:08 am
According to the investors' lawyer, LPL Financial, LLC ("LPL") knew that the TICs boosted their yield with financial "tricks. [read post]
10 Nov 2023, 7:01 am
John Matson (John Nicholas Matson CRD# 1796541) is a former registered broker and investment advisor last employed with LPL Financial LLC (CRD#:6413) of Manhattan Beach, CA. [read post]
20 Dec 2022, 9:11 am
11/02/2017 – 12/07/2022, LPL FINANCIAL LLC (CRD#:6413), MANHATTAN BEACH, CA, B, 06/22/2015 – 11/09/2017, AMERIPRISE FINANCIAL SERVICES, INC. [read post]
22 Mar 2012, 2:28 pm
According to SEC documents, Arthur Lin, a former LPL Financial registered representative has been accused of selling “…$5,360,000 in unregistered promissory notes issued by Malarz Equity Investments, LLC to at least 20 investors, including 15 LPL customers. [read post]
27 Nov 2011, 12:18 pm
LPL Financial LLC has been fined $100,000 for failing to supervise Jack Kleck, a broker who sold unsuitably risky investments to clients in their 80s, the Oregon Department of Consumer and Business Services announced on Nov. 22. [read post]
3 Jan 2020, 2:15 pm
Silver Law Group represents investors in arbitration claims against LPL Financial. [read post]
25 Mar 2022, 8:35 am
Ex-LPL Broker Jonathan Cooke found liable in Annuities Fraud Scheme The Securities and Exchange Commission has won a jury trial against former LPL Financial broker Jonathan Cooke after the regulator charged him with defrauding hundreds of government employees. [read post]
7 Dec 2022, 11:17 am
If you are concerned about investments with Brad Goodbred and LPL Financial, the securities attorneys at The White Law Group may be able to help you. [read post]
5 Feb 2016, 6:14 am
The investment fraud lawyers of Gana LLP are investigating customer complaints and the termination by LPL Financial, LLC (LPL) of broker Alfred Talens (Talens). [read post]
19 May 2014, 4:42 am
The Financial Industry Regulatory Authority (FINRA) recently barred LPL Financial, LLC (LPL) broker Reniero Francisco (Francisco) concerning allegations that the broker failed to cooperate with FINRA’s investigation of Francisco’s involvement with Arista LLC, a registered Commodity Pool Operator (CPO) with its principal place of business in Newport Coast, California. [read post]
18 Mar 2014, 6:01 am
Brunhaver (Brunhaver) formerly of LPL Financial, LLC (LPL) concerning allegations Brunhaver used an unauthorized e-mail account for communications related to his securities business and committed securities fraud in making oral and written misrepresentations to customers regarding a non-traded REIT. [read post]
20 May 2019, 1:56 pm
Nalesnik was terminated for cause by LPL Financial on July 8, 2018 as a result of LPL’s internal investigation into his outside businesses, including not cooperating with LPL’s investigation. [read post]
1 May 2014, 11:17 am
Such is the case when last month the Financial Industry Regulatory Authority (FINRA) fined LPL Financial, LLC $950,000. [read post]
12 Mar 2015, 6:45 am
LPL Financial LLC (LPL) has terminated its former broker Charles Fackrell (Fackrell), registered with The Financial Industry Regulatory Authority (FINRA), alleging that the broker engaged in unapproved private securities transactions (known in the industry as “selling away”) and also due to a felony arrest for obtaining property under false pretenses. [read post]
24 Mar 2014, 4:50 pm
According to reports, the Financial Industry Regulatory Authority (FINRA) recently fined LPL Financial $950,000 for failure to adequately supervise the sale of alternative investment. [read post]
18 Aug 2014, 12:51 pm
If you believe you have suffered financial losses as a result of the actions of LPL Financial, LLC; Mr. [read post]
13 Jan 2021, 12:14 pm
Before his employment with LPL Financial LLC, Mr. [read post]
7 Jan 2020, 9:19 am
Prior to joining LPL Financial in 2018, Booth was registered with Invest Financial Corporation. [read post]
15 Apr 2015, 7:06 am
FINRA found that from approximately May 2009, through November 2012, Schmidt borrowed approximately $2.25 million from seven customers of LPL Financial LLC (LPL) and also engaged in outside business activities without notifying the firm. [read post]
