Search for: "LPL Financial Corporation"
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3 Jun 2019, 11:11 am
Previous to working with Cambridge, Contreras was also a former Commonwealth Financial broker and prior to that an LPL Financial broker. [read post]
12 Apr 2019, 8:25 am
Insurance Agency Peter Gomez NYLife Securities LLC New York Life Insurance Co Harris, Dionna Vanguard Marketing Corporation Henry, Omar Cetera Advisors LLC JP Morgan Securities LLC King, Erin Wells Fargo Clearing Services, LLC Wells Fargo Bank Lin, Linda Lossing, Christopher LPL Financial LLC Edward Jones McNeill, Randolph Buckman, Buckman & Reid, Inc… [read post]
24 Jan 2022, 1:43 pm
Bhaskar Vyas Interfirst Capital Corporation Western International Securities, Inc. [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 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 Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors Capital Diehlman,… [read post]
6 Feb 2018, 7:30 am
David Arthur Wismer III LPL Financial LLC American Express Financial Advisors Inc. [read post]
7 Jan 2020, 6:59 am
Prior to his time at Lifemark Securities in Peoria Illinois, Carver was registered with Cetera Advisors LLC, Brewer Financial Services, LLC (a firm that has since been expelled), LPL Financial Corporation, Robert W. [read post]
10 Aug 2015, 7:03 am
Broker Thomas Sharp Sanctioned by FINRA Over Misleading Statements Concerning Non-Traded REITs Pennsylvania Regulator Investigates Securities America and Landenburg Thalmann Non-Traded REIT Sales National Planning Corporation Broker Matthew Westfall Sanctioned Over Outside Business Activities and Non-Traded REIT Sales Hantz Financial Services Sanctioned Over Non-Traded REIT Due Diligence Failures Former LPL Financial Broker Brian Brunhaver Accused of Fraud in the… [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… [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]
31 Mar 2010, 11:43 am
Turner & Company and LPL Financial Corporation was fined $10,000 and suspended from association with any FINRA member in any capacity for 15 business days for making unsuitable recommendations to his customers to buy closed-end funds (CEFs) purchased in an initial public offering (IPO) and selling them in the short term without fully understanding the pricing of CEFs and the risks and rewards of the investments. [read post]
31 Mar 2010, 12:43 pm
Turner & Company and LPL Financial Corporation was fined $10,000 and suspended from association with any FINRA member in any capacity for 15 business days for making unsuitable recommendations to his customers to buy closed-end funds (CEFs) purchased in an initial public offering (IPO) and selling them in the short term without fully understanding the pricing of CEFs and the risks and rewards of the investments. [read post]
19 Aug 2022, 8:54 am
Pruco Securities, LLC Ann Montgomery LPL Financial LLC National Planning Corporation Sean Winkler Vanguard Marketing Corporation FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
5 Jul 2022, 9:04 am
Henry Moore LPL Financial LLC Summit Brokerage Services, Inc. [read post]
19 Apr 2022, 7:21 am
(CRD#:10641), New Bedford, MA 01/10/2000 – 03/12/2008, LPL FINANCIAL CORPORATION (CRD#:6413), E. [read post]
4 Jun 2018, 6:30 am
Concorde Investment Services, LLC Independent Financial Group, LLC Jeffrey Michael Johnson Morgan Stanley Raymond James & Associates, Inc Rick Douglas Konency National Securities Corporation J.P. [read post]
25 Apr 2019, 11:59 am
According to FINRA Disciplinary actions for April 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 Corp Boggs, Marcus Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America… [read post]
17 May 2016, 7:03 am
From September 2009 until December 2009, Goldman was associated with LPL Financial Corporation. [read post]
23 Sep 2010, 4:01 pm
Christopher Anthony Lee, formerly with LPL Financial, IFMG Securities, and Citigroup Global Markets, was named as a respondent in a FINRA complaint alleging that he altered customer documents causing annuity companies to mail customer checks to his home address so that he could deposit the checks in his personal bank account and use the funds for his own purposes. [read post]
12 Apr 2021, 11:33 am
This claim alleged that barred broker James Booth was under the employment of Invest Financial Corporation and LPL Financial when he carried our the alleged conversions, and in November 2020 this dispute was eventually settled for $80,000. [read post]
