Search for: "LPL Financial, LLC"
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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]
10 Feb 2014, 6:01 am
Dahn (Dahn) has been barred by the Financial Industry Regulatory Authority (FINRA) concerning allegations that he privately borrowed money from at least two customers, an act constituting securities fraud, while being a registered representative of Mutual Service Corporation (MSC) and LPL Financial LLC (LPL). [read post]
17 Dec 2015, 1:53 pm
LPL Financial has settled charges with the New Hampshire’s Bureau of Securities Regulation for selling non-traded REITs to New Hampshire investors. [read post]
30 Oct 2017, 7:30 am
Update: NC Fines LPL for Charles Fackrell Ponzi Scheme Did you lose money investing with Charles Fackrell and LPL Financial? [read post]
2 Jun 2021, 7:05 am
LPL Financial Broker James Couture Charged with Defrauding Clients According to a press announcement on June 1, 2020, the Securities and Exchange Commission charged former LPL Financial advisor James Kenneth Couture with defrauding his advisory clients by allegedly stealing approximately $2.9 million from them. [read post]
15 Feb 2012, 9:33 am
The TICs were sold by former LPL broker David Glenn. [read post]
16 Apr 2015, 12:01 pm
In the New Hampshire matter, LPL clients held a higher percentage of their portfolios in uncertain alternative investments than what was allowed by LPL’s internal rules.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
10 Apr 2015, 7:01 am
He began the venture without notifying his former firm, LPL Financial. [read post]
26 Jul 2021, 7:28 am
Labelle was reportedly affiliated with LPL Financial in Pittsfield MA from 2014 until December 2019. [read post]
14 Jun 2021, 1:05 pm
The post Ex-LPL Financial Advisor Paul McGonigle Charged with Defrauding Clients appeared first on The White Law Group. [read post]
30 Sep 2022, 9:06 am
According to his FINRA BrokerCheck report, Goodbred was reportedly affiliated with LPL Financial in Roselle, IL from October 2009 until February 2021. [read post]
21 May 2013, 3:31 pm
The Financial Industry Regulatory Authority (FINRA) has levied a $7.5 million fine against LPL Financial LLC (LPL) for a series of email system failures which prevented LPL from accessing hundreds of millions of emails and reviewing tens of millions of other emails. [read post]
3 May 2019, 5:56 am
FINRA Rules and securities industry regulations require brokerage firms like Invest Financial and LPL Financial to supervise their financial advisors. [read post]
14 Feb 2018, 3:14 pm
According to her FINRA BrokerCheck report, Sonya Camarco, also allegedly known as Sonya Fatchett, was registered with LPL Financial LLC in Colorado Springs, CO from February 2004 until August 2017. [read post]
13 Feb 2018, 3:14 pm
According to her FINRA BrokerCheck report, Sonya Camarco, also allegedly known as Sonya Fatchett, was registered with LPL Financial LLC in Colorado Springs, CO from February 2004 until August 2017. [read post]
6 Sep 2016, 3:04 pm
Resch is currently registered to sell securities with LPL Financial LLC in the broker-dealer’s Morristown, New Jersey office, according to her publicly available BrokerCheck records maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
19 Nov 2018, 9:50 am
Christopher Laws Suspended Have you suffered losses investing with Christopher Laws and LPL Financial? [read post]
13 Aug 2015, 11:17 am
From the Desk of Jim Eccleston at Eccleston Law LLC: Original post can be found here.MetLife Inc. and LPL Financial, two large financial services firms, have entered a heated dispute over the poaching of 60 brokers. [read post]
27 May 2020, 6:31 am
(CRD#:17499) of Fort Meyers, FL, LPL Financial LLC (CRD#:6413) of Bellmore, NY, and IFMG Securities, Inc. [read post]
14 Sep 2022, 7:31 am
According to his FINRA Broker report, Bailey was reportedly affiliated with the following firms, among others during his career in the securities industry: 02/27/2009 – 07/16/2020, LPL FINANCIAL LLC (CRD#:6413), WORCESTER, MA, 02/01/2006 – 02/27/2009, LINCOLN FINANCIAL SECURITIES CORPORATION (CRD#:3870), WORCESTER, MA The Financial Industry Regulatory Authority (FINRA) reportedly barred Couture in October 2020 after… [read post]
