Search for: "LPL Financial, LLC"
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27 Oct 2016, 6:15 am
Lebel worked for LPL Financial from 2008 to 2014. [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]
2 Mar 2021, 12:23 pm
Rhett Bedwell’s broker report indicates that he was registered with LPL Financial in Rogers, Arkansas from November 2017 until August 2019. [read post]
12 Jul 2022, 11:22 am
Filing a Claim against your Brokerage Firm According to his broker record, Hollifield was reportedly affiliated with the following FINRA registered firms, among others, during his career in the securities industry: 10/14/2016 – 09/10/2021, LPL FINANCIAL LLC (CRD#:6413), DACULA, GA 09/19/2008 – 11/11/2016, STERNE AGEE FINANCIAL SERVICES, INC. [read post]
23 Feb 2012, 7:26 am
According to various reports, a broker formally affiliated with Morgan Stanley Smith Barney, LLC, Berthel Fisher & Co., and LPL Financial was recently arrested in Oregon for allegedly stealing $584,000 from three investors. [read post]
25 Sep 2018, 7:36 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Clifton Roberts (Roberts), formerly associated with LPL Financial LLC (LPL Financial) in Houston, Texas was terminated for cause by LPL Financial in April 2018 after the firm made allegations that Roberts violated of firm policy regarding outside business activities (OBAs). [read post]
27 Sep 2016, 7:34 am
LPL also plans on cutting prices and easing minimums on some of its internally managed model wealth portfolios in anticipation of the DOL fiduciary rule.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
1 Aug 2022, 4:04 am
LPL Financial LLC, Respondent (FINRA Arbitration Award)FINRA Small Firms Face Existential Crisis. [read post]
16 Feb 2012, 6:44 am
The Investment News is reporting that LPL Financial is on the hook for a $1.4 million arbitration award to an elderly couple who bought real estate tenant in common deals. [read post]
12 Jan 2021, 10:57 am
LPL Broker Kerry Hoffman Barred from the Securities Industry According to an administrative order this week, the SEC has reportedly barred former LPL Financial advisor Kerry L. [read post]
18 Sep 2017, 12:50 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 02/27/2004 until 08/10/2017 when she was discharged for the above allegations. [read post]
30 Jul 2012, 11:14 am
The matter at hand is slightly complicated by the fact that NRP Financial Inc. was purchased by LPL Investment Holdings Inc. in July of 2010. [read post]
8 Jan 2010, 9:12 am
Before joining Next Financial, McGilvrey was affiliated with LPL Financial of Boston. [read post]
4 Jun 2014, 5:41 am
On March 10, 2014, Larry Steven Werbel submitted a Letter of Acceptance, agreeing to accept the sanctions handed down by the Financial Industry Regulatory Authority (FINRA) for alleged violations relating to the sale of penny stocks during his tenure at LPL Financial, LLC. [read post]
5 Apr 2018, 6:50 am
According to the Financial Industry Regulatory (FINRA), the regulator has barred former LPL Financial advisor, Laura Ortega Shean for using client funds to pay her own taxes. [read post]
13 Jan 2021, 9:25 am
If you are concerned about investments with Michael Tavel and LPL Financial, the securities attorneys at The White Law Group may be able to help you. [read post]
8 Feb 2022, 12:58 pm
Couture’s alleged scheme, while reportedly registered with LPL Financial, included convincing some of his clients to transfer assets to a separate company he created called Legacy Financial LLC. [read post]
6 Feb 2021, 11:00 am
The law offices of Gana LLP recently filed a complaint before The Financial Industry Regulatory Authority (FINRA) on behalf of a investor against brokerage firm LPL Financial, LLC (LPL) involving the firm’s financial advisor, Kevin McCallum (McCallum) and his use of discretion to invest substantial sums in Medley Capital Corporation (MCC). [read post]
8 Oct 2015, 6:51 am
Associated with LPL since 1998, Mr. [read post]
4 May 2018, 1:33 pm
Bradley Everett Gardner (CRD# 4423724) is a former broker and investment advisor whose last known position in the financial industry was with LPL, LLC, (CRD# 6413) of Fort Bragg, CA. [read post]
