Search for: "LPL Financial Corp."
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26 Nov 2019, 6:50 am
According to FINRA Disciplinary actions for October 2019, the following individuals were barred 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 Bender, Charles Suntrust Investment Services, Inc JP Morgan Securities Bingham, Daniel Essex Securities Investors Capital Corp Devaney,… [read post]
30 Jul 2019, 11:35 am
Booth Discharged by LPL Financial LLC Allegedly Following Allegations of Misappropriation of Multiple Clients’ Funds for Personal & Business Use James T. [read post]
30 Jul 2019, 11:35 am
Booth Discharged by LPL Financial LLC Allegedly Following Allegations of Misappropriation of Multiple Clients’ Funds for Personal & Business Use James T. [read post]
30 Jan 2019, 1:03 pm
According to FINRA Disciplinary actions for January 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 Alfaro, Jennifer JP Morgan Securities LLC JP Morgan Chase Bank Austin, Aaron LPL Financial LLC M&T Securities, Inc Austin,… [read post]
4 Jun 2018, 6:26 am
Morgan Securities LLC Chase Investment Services Corp Joshua David Ellis LPL Financial LLC BCG Securities, Inc. [read post]
29 Apr 2019, 7:48 am
LPL Financial LLC Purshe Kaplan Sterling Investments, Inc. and CS Planning Corp. [read post]
3 May 2010, 8:56 pm
Uvest, a unit of LPL Investment Holdings Inc., with a $29,505,358 average AUM/rep 6. [read post]
3 Sep 2013, 8:23 am
Miller (Miller), a securities broker, was terminated by LPL Financial Corp. [read post]
12 Apr 2021, 11:33 am
Booth, before being registered with LPL in 2018, had been a broker with Invest Financial Corp. since 2005, FINRA notes. [read post]
12 Apr 2021, 11:33 am
Booth, before being registered with LPL in 2018, had been a broker with Invest Financial Corp. since 2005, FINRA notes. [read post]
4 Jun 2018, 6:30 am
National Securities Corp. [read post]
26 Nov 2019, 7:02 am
According to FINRA Disciplinary actions for October 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 Acca, Lisa Arive Capital Markets Global Arena Capital Partners Bailey, Michael PFS Investments Primerica Financial Services Bartley,… [read post]
4 Apr 2018, 7:38 am
Commonwealth Financial Network Peter Jack Margaros State Farm VP Management Corp. [read post]
10 Jan 2018, 4:40 pm
Camarco LPL Financial LLC Linsco/Private Ledger Corp Benjamin Asa Duty State Farm VP Management Corp. [read post]
14 Nov 2017, 8:18 am
” Prior to that, he was associated with LPL Financial in Lake Charles, LA from September 2009 until October 2013. [read post]
12 Apr 2019, 8:22 am
According to FINRA Disciplinary actions for February 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Grossman, Robert David Lerner Associates, Inc National Planning Corporation Jacobowitz, Oded Securities America, Inc JP Morgan Securities LLC James, Garland Garden State Securities, Inc Global Arena… [read post]
23 Dec 2019, 1:40 pm
Intersecurities, Inc Murray, Robert SW Financial Joseph Stone Capital LLC Stokes, Dain LPL Financial LLC Edward Jones Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
28 Aug 2018, 11:30 am
Morgan Securities LLC Wells Fargo Advisors, LLC Bradley Pace LPL Financial LLC A.J. [read post]
19 Apr 2019, 5:39 am
According to FINRA Disciplinary actions for March 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Barrera, Cynthia Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Beyn, Edward Rothchild Lieberman LLC Craig Scott Capital Blanchard, Keith Waddell & Reed Block, Gabriel … [read post]
8 May 2020, 9:47 am
Morgan Securities LLC Chase Investment Services Corp David Del Rio LPL Financial LLC Suntrust Investment Services, Inc. [read post]
