Search for: "LPL FINANCIAL LLC"
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1 Jul 2019, 7:02 am
From March 2014 until June 2015 Bourgeois was registered with LPL Financial LLC. [read post]
30 Jun 2019, 4:17 am
Booth, formerly registered with LPL Financial, LLC (LPL Financial) out of Norwalk, Connecticut has left LPL Financial and is under investigation by securities regulators. [read post]
20 Jun 2019, 7:37 am
The post LPL Financial LLC | Lawsuit Filed Today appeared first on The White Law Group. [read post]
26 May 2019, 5:44 am
Bylenga, formerly registered with LPL Financial LLC (LPL Financial) and operating out of Portage, Michigan, has been accused by a customer of soliciting funds for a loan. [read post]
24 May 2019, 9:32 am
Nalesnik previously worked at IDS Life Insurance Company, American Express Financial Advisors, CCO Investment Advisors and, for almost a decade, LPL Financial, LLC. [read post]
20 May 2019, 1:56 pm
Nalesnik was terminated for cause by LPL Financial on July 8, 2018 as a result of LPL’s internal investigation into his outside businesses, including not cooperating with LPL’s investigation. [read post]
8 May 2019, 6:50 am
In August 2018 Lamkin’s then employer, LPL Financial LLC (LPL) terminated Lamkin claiming that advisor received and/or benefited from loans from firm customers, failed to disclose and inadequately disclosed outside business activities, and personally engaged in and solicited other investors to participate in private investments without obtaining Firm approval. [read post]
3 May 2019, 5:56 am
FINRA Rules and securities industry regulations require brokerage firms like Invest Financial and LPL Financial to supervise their financial advisors. [read post]
29 Apr 2019, 7:48 am
LPL Financial LLC Purshe Kaplan Sterling Investments, Inc. and CS Planning Corp. [read post]
25 Apr 2019, 12:33 pm
Our attorneys have recovered millions of dollars from many brokerage firms in the past, including LPL Financial. [read post]
25 Apr 2019, 12:02 pm
According to FINRA Disciplinary actions for April 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 Austin, Phillip JP Morgan Securities Chase Investment Services Bishop, Tywan Charles Schwab & Co E Trade Securities Delaney, Glen… [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]
25 Apr 2019, 10:59 am
(Capital Financial), in May 2017, was discharged from his employer LPL Financial LLC (LPL) due to allegations that he violated the firm’s policies regarding outside business activities. [read post]
20 Apr 2019, 1:42 pm
Benjamin Bourgeois has 4 disclosures on his FINRA BrokerCheck Report, and has 27 years in the securities industry with 9 firms, including the following: Commonwealth Financial Network, Metairie, LA— May 29, 2015 to April 1, 2019 LPL Financial LLC, Metairie, LA— March 7, 2014 to June 5, 2015 Sterne, Agee & Leach, Inc., New Orleans, LA— May 14, 2009 to March 11, 2014 FB Investments, Inc, Harvey, LA— April 6, 2001 to May 21, 2009… [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]
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]
19 Apr 2019, 5:33 am
Insurance Agency Guillory, Michael Financial West Group The Shemano Group, Inc Hamm, Brandon Wells Fargo Clearing Services Hartigan, John Entrustpermal Securities LLC Calyon Financial Inc Jones, Marques Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Merlo, Robert Allstate Financial Services Pruco Securities Norris, Timothy BMO Harris… [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… [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]
10 Apr 2019, 5:20 am
Scott Klor, LPL Financial Suspended & Fined Are you concerned about your investments with former financial advisor Scott Klor? [read post]
