Search for: "LPL Financial Corporation"
Results 1 - 20
of 126
Sorted by Relevance
|
Sort by Date
14 Jun 2018, 3:54 pm
Now, Newbridge Securities Corporation employs Diaz at its Boca Raton, Florida branch. [read post]
18 Jan 2021, 6:57 am
Continue Reading › The post LPL Financial Acquires Lucia Securities appeared first on Investor Lawyers Blog. [read post]
18 Dec 2020, 5:07 pm
He has also been affiliated with Charter Advisory Corporation and Tavel Insurance & Financial Services, LLC. [read post]
26 May 2015, 11:32 am
In 2007, LPL Financial Holdings, Inc., LPL’s parent company, expanded LPL’s broker-dealer business by acquiring other financial services firms and recruiting registered representatives from other broker-dealers. [read post]
22 Jun 2021, 7:37 am
McCallum consented to the suspension after FINRA alleged that from May 2017 through June 2019, while associated with LPL Financial LLC in Birmingham, Alabama, he made unsuitable recommendations to 12 customers, resulting in their overconcentration in a high-risk, publicly-traded business development company (BDC), believed to be Medley Capital Corporation. [read post]
17 Feb 2021, 12:58 pm
Tavel was registered with broker-dealer LPL Financial LLC from 2004-2019, operating out of Indianapolis, Indiana. [read post]
22 Jan 2021, 11:28 am
The post FINRA Bars James Couture Of LPL Financial After Termination appeared first on Securities Arbitration Lawyers Blog. [read post]
3 Jan 2020, 2:15 pm
Dexter Thomas (CRD# 1074222) was a broker who formerly worked for LPL Financial (CRD# 6413) in Dallas, Texas, United Planners Financial Services of America (CRD# 20804), National Planning Corporation (CRD# 29604), Invest Financial Corporation (CRD# 12984), AIG Financial Advisors (CRD# 133763), Sunamerica Securities (CRD# 20068), and others. [read post]
3 Oct 2019, 7:02 am
Although Booth operated his own company called Booth Financial Associates, he was at all time relevant to this scheme a licensed and registered representative with FINRA member brokerage firms Invest Financial Corporation and LPL Financial. [read post]
8 Dec 2019, 2:18 pm
Advisor Steven Case (Case), currently employed by LPL Financial LLC (LPL Financial) has been subject to at least two customer complaints during the course of his career. [read post]
9 May 2019, 9:33 am
LPL Financial Lawsuit The White Law Group announces the filing of a FINRA arbitration claim against LPL Financial involving high-risk alternative investments. [read post]
29 Nov 2011, 6:28 pm
The Oregon Division of Financial and Corporate Securities, which fined the financial firm, reports that LPL Financial has put in place better oversight procedures since the violation was discovered. [read post]
17 Jul 2019, 1:56 pm
The claim further alleges that LPL Financial LLC unsuitably invested the client in the following high risk private placements investments: FS Investments Corporation III (FSIC III) FS Investments Corporation IV (FSIC IV Corporate Capital Trust The FINRA claim seeks damages between $100,000 and $500,000. [read post]
27 Sep 2022, 11:48 am
Her last known employer was LPL Financial LLC (CRD#:6413) of West Palm Beach, FL. [read post]
7 Jan 2020, 9:33 am
Prior to joining LPL Financial in 2018, Booth was registered with Invest Financial Corporation. [read post]
27 Nov 2011, 12:18 pm
LPL Financial LLC has been fined $100,000 for failing to supervise Jack Kleck, a broker who sold unsuitably risky investments to clients in their 80s, the Oregon Department of Consumer and Business Services announced on Nov. 22. [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]
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]
3 May 2019, 5:56 am
According to FINRA, Booth’s spree occurred while he was registered with Invest Financial Corporation and then LPL Financial. [read post]
7 Jan 2020, 9:19 am
Prior to joining LPL Financial in 2018, Booth was registered with Invest Financial Corporation. [read post]
