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4 Jan 2019, 6:58 am
LPL Financial LLC, Respondent (FINRA Arbitration 18-01500, January 4, 2019)http://www.finra.org/sites/default/files/aao_documents/18-01500.pdfIn a FINRA Arbitration Statement of Claim filed in April 2018, public customer Claimant Nudelman asserted breach of fiduciary duty, negligence and negligent supervision, breach of contract and respondeat superior. [read post]
15 Mar 2021, 7:13 am
Previous employers include LPL Financial LLC (CRD#:6413), Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), and Chase Investment Services Corp. [read post]
17 Jan 2019, 8:35 am
Recently, we told you about a client dispute filed against broker and investment advisor Shon Edward Flaharty (CRD #2666498), with LPL Financial LLC (CRD #6413) of Clearwater, FL. [read post]
18 Dec 2019, 5:57 am
Advisor Yvonne Silguero (Silguero), currently employed by LPL Financial LLC (LPL Financial) has been subject to at least two customer complaints during the course of her career. [read post]
1 Oct 2018, 6:37 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Suhail Khan (Khan), formerly associated with LPL Financial, LLC. [read post]
11 Jul 2013, 7:25 am
, LPL Financial LLC, Commonwealth Financial Network, MML Investor Services LLC, Investors Capital Corp., Signator Investors Inc., Meyers Associates LP, and WFG Investments Inc. [read post]
26 Oct 2016, 7:51 am
Lebel was a broker and former representative of registered broker-dealer and investment advisor, LPL Financial LLC (“LPL”). [read post]
11 Nov 2017, 9:05 am
Rehak is currently registered with LPL Financial LLC (LPL Financial). [read post]
1 Aug 2017, 8:14 am
According to Investment News, they were registered with LPL Financial and affiliated with Federal Employee Benefits Counselors. [read post]
12 Dec 2023, 9:55 am
(CRD#:23131), West Hartford, CT, B, 04/26/2016 – 12/22/2022, LPL FINANCIAL LLC (CRD#:6413), WEST HARTFORD, CT B, 10/29/2010 – 05/23/2016, PRUCO SECURITIES, LLC. [read post]
2 Feb 2021, 7:25 am
(CRD#:46214) and LPL Financial Corporation (CRD#:6413), also of Danbury, CT, and Wachovia Securities, LLC (CRD#:19616) of Ossining, NY. [read post]
7 Dec 2023, 2:06 pm
His previous employers include LPL Financial LLC (CRD# 6413), also of Coral Springs, Invest Financial Corporation (CRD# 12984) of Fort Lauderdale, and Middlebury Securities LLC(CRD#122602) of Boca Raton. [read post]
20 Aug 2018, 12:51 pm
Shon Flaharty (CRD #2666498) is a currently registered broker and investment advisor with LPL Financial LLC (CRD #6413) of Clearwater, FL. [read post]
16 Oct 2015, 9:49 am
Have you suffered losses investing with former LPL Financial Advisor Garrett Ahrens? [read post]
13 Sep 2021, 6:35 am
According to BrokerCheck records, Schmidt is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm LPL Financial LLC (LPL Financial) out of the firm’s Worcester, Massachusetts office location. [read post]
16 Dec 2019, 7:31 am
According to BrokerCheck records, Stokes is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm LPL Financial LLC (LPL Financial). [read post]
10 Jun 2013, 6:04 am
FINRA fined LPL Financial LLC (LPL) $7.5 million for significant failures in its email system that prevented LPL from accessing hundreds of millions of emails, and from reviewing tens of millions of other emails over an approximately six-year period. [read post]
19 Oct 2021, 6:21 am
According to records kept by FINRA Bedwell was employed by LPL Financial LLC (LPL Financial) at the time of the activity. [read post]
13 Jan 2020, 1:45 pm
On December 26, 2019, FINRA sanctioned five firms, LPL Financial LLC, J.P. [read post]
19 Apr 2019, 5:36 am
According to FINRA Disciplinary actions for March 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Ferree, Stuart LPL Financial LLC Invest Financial Corporation Anderson, Andy LPL Financial LLC… [read post]
