Search for: "LPL Financial, LLC"
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25 Apr 2019, 10:59 am
(Capital Financial), in May 2017, was discharged from his employer LPL Financial LLC (LPL) due to allegations that he violated the firm’s policies regarding outside business activities. [read post]
30 Oct 2017, 7:48 am
These commissions were labeled as advertising funds, but FINRA found that Woehrman misled LPL Financial LLC when he submitted a compliance questionnaire in which he denied engaging in a referral deal. [read post]
28 Jan 2013, 6:15 am
As of April 1, LPL reps no longer can source those kinds of mutual funds directly from a fund sponsor such as ProFund Advisors LLC or Rydex Funds. [read post]
30 Jun 2019, 4:17 am
Booth, formerly registered with LPL Financial, LLC (LPL Financial) out of Norwalk, Connecticut has left LPL Financial and is under investigation by securities regulators. [read post]
10 Mar 2021, 11:53 am
Goodbred reportedly refused to provide testimony in FINRA’s investigation regarding his alleged dismissal from his member firm, LPL Financial. [read post]
10 Mar 2021, 11:53 am
Goodbred reportedly refused to provide testimony in FINRA’s investigation regarding his alleged dismissal from his member firm, LPL Financial. [read post]
13 Jun 2016, 6:41 am
The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Brian Smit (Smit) formerly working out of the Sioux Falls, South Dakota office of LPL Financial LLC (LPL). [read post]
31 May 2022, 8:09 am
LPL Financial LLC, Respondent (FINRA Arbitration Award)AML Update: The Latest Trends and Effective Practices (FINRA Unscripted)FINRA Arbitrator Denies Expungement of One Item but Recommends Expungement of SecondIn the Matter of the Arbitration Between David John Kimura, Claimant, v. [read post]
30 Sep 2014, 6:40 am
Schulz, LPL Financial, LLC, and Commonwealth Financial Network. [read post]
6 Oct 2019, 10:19 am
Volpe, formerly registered with First Financial Equity Corporation (First Financial) and LPL Financial LLC (LPL Financial) was subject to an investigation by The Financial Industry Regulatory Authority (FINRA) over these allegations. [read post]
6 Feb 2017, 7:20 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Dominic DeBruin (DeBruin), formerly associated with LPL Financial, LLC (LPL Financial). [read post]
8 Nov 2015, 11:34 am
From June 1998 until August 2015, Ahrens was associated with LPL Financial LLC (LPL Financial). [read post]
13 May 2017, 8:36 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Michael Babyak (Babyak), formerly associated with brokerage firms LPL Financial LLC (LPL) and Leigh Baldwin & Co., LLC (Leigh Baldwin). [read post]
31 Oct 2016, 7:46 am
The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by LPL Financial LLC (LPL) involving broker Kevin Kuhlow (Kuhlow) out of the firm’s Los Gatos, California office. [read post]
2 Aug 2021, 9:39 am
Kevin McCallum was reportedly affiliated with the following firms during his career in the securities industry: 05/24/2012 – 07/05/2019, LPL FINANCIAL LLC (CRD#:6413), BIRMINGHAM, AL 10/30/2009 – 05/23/2012, NBC SECURITIES, INC, (CRD#:17870), BIRMINGHAM, AL 04/09/2007 – 11/06/2009, COLONIAL BROKERAGE, INC. [read post]
26 May 2019, 5:44 am
Bylenga, formerly registered with LPL Financial LLC (LPL Financial) and operating out of Portage, Michigan, has been accused by a customer of soliciting funds for a loan. [read post]
30 Jul 2018, 9:03 am
According to BrokerCheck Records kept by the Financial Industry Regulative Authority (FINRA), In February 2017, LPL Financial LLC (LPL Financial) terminated Spangler for executing unauthorized trades in non-discretionary customer accounts. [read post]
8 Dec 2017, 6:52 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), in June 2013, LPL Financial LLC (LPL Financial) terminated Warner for cause alleging that he obtained client signatures on black account transfer forms. [read post]
6 Oct 2018, 10:08 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Philip Nalesnik (Nalesnik), formerly associated with LPL Financial, LLC (LPL Financial) in Pottsville, Pennsylvania was terminated by the firm. [read post]
8 Oct 2021, 10:45 am
” According to his FINRA Broker Report, Hollifield was affiliated with the following firms, among others: 10/14/2016 – 09/10/2021, LPL FINANCIAL LLC (CRD#:6413), DACULA, GA09/19/2008 – 11/11/2016, STERNE AGEE FINANCIAL SERVICES, INC. [read post]
