Search for: "LPL Financial Corporation"
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21 Jun 2018, 1:24 pm
(CRD #13366), brokersXpress LLC (CRD #127081, now defunct), and LPL Financial Corporation (CRD #6413), also of Lighthouse Point, Florida. [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]
31 Jan 2022, 11:41 am
Last year, for example, an advisor was fired from LPL Financial for allegedly stating racist remarks leaked on TikTok… Racial equity has garnered massive attention in recent years following the killings of George Floyd, Breonna Taylor, Ahmaud Arbery and others. [read post]
6 Nov 2014, 3:03 pm
LPL Financial said that they will no longer sell products by American Realty Capital Properties and RCS Capital Corporation. [read post]
28 May 2021, 1:40 pm
According to FINRA Disciplinary actions for May 2021, 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 Scott Kaufman Vanguard Marketing Corporation LPL Financial LLC Thomas Marino R.M. [read post]
28 May 2021, 10:52 am
LPL Financial LLC Zachary Bader National Securities Corporation Craig Scott Capital, LLC Peter Brown Oppenheimer & Co. [read post]
2 Oct 2018, 5:44 am
Robert Nash Merrimac Corporate Securities, Inc. [read post]
14 Jul 2022, 7:39 am
(CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East Falmouth, MA, and Securities America, Inc. [read post]
19 Aug 2022, 9:37 am
According to FINRA Disciplinary actions for Aug 2022, 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 Andrew Edenbaum Allliance Global Partners National Securities Corporation Keith Esp Vanderbilt Securities, LLC LPL Financial LLC Karl Foust Jr. [read post]
28 Aug 2022, 9:45 am
From September 2004 through September 2010, Serizawa was registered with LPL Financial Corporation. [read post]
2 Sep 2022, 6:54 am
Additionally, in July 2018, Melilli was registered with LPL Financial LLC. [read post]
13 Jul 2023, 8:18 am
(CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East Falmouth, MA, and Securities America, Inc. [read post]
14 Apr 2023, 9:24 am
According to FINRA Disciplinary actions for March 2023, 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 Kenwyn Belkot LPL Financial LLC FSC Securities Corporation Robert Calamunci Sr. [read post]
26 Oct 2018, 7:27 am
Morgan Securities LLC Bustamante Family Legacy LLC Daniel Flores Woodbury Financial Services, Inc Princor Financial Services Corporation Jose Giraldo Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Associates, Inc Joshua Krize Wells Fargo Clearing Services, LLC Country Capital Management Company Francine Lanaia Windsor Street Capital, LP Meyers Associates LP Scott… [read post]
19 Feb 2019, 1:09 pm
He was previously with LPL Financial (LPLA) for almost 30 years. [read post]
21 Oct 2014, 6:03 am
On March 24, 2014, LPL Financial was fined $950,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise its brokers’ marketing of nontraditional investments. [read post]
4 Jan 2018, 9:46 am
He worked at LPL Financial LLC from 2010 until he was discharged in 2015. [read post]
8 Mar 2021, 12:53 pm
Salomon Whitney Financial Lawrence Freedman Newbridge Securities Corporation Wells Fargo Clearing Services, LLC Ganesh Iyer Morgan Stanley LPL Financial LLC Carolyn Neale AXA Advisors, LLC UVest Financial Services Group, Inc. [read post]
8 Oct 2017, 7:03 am
From September 2009 until October 2013 Veron was associated with LPL Financial LLC. [read post]
18 Dec 2018, 11:03 am
Pro-Integrity Securities, Inc Makiaha Evans Brendan Feitelberg United Planners’ Financial Services of America LPL Financial LLC Edgar Guzman-Gonzalez JP Morgan Securities LLC Mario Jimenez Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America, N. [read post]
