Search for: "LPL FINANCIAL LLC"
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19 Feb 2019, 12:53 pm
The claim is the first against Carson since he left LPL Financial for Cetera Advisor Networks at the beginning of 2017. [read post]
1 Feb 2019, 8:06 am
Suhail Saleem Khan (CRD #3168241) is a former registered broker and investment advisor who was last employed with LPL Financial LLC (CRD #6413) of Chicago, IL. [read post]
31 Jan 2019, 1:01 pm
The Maryland Attorney General’s office has reached a settlement with LPL Financial LLC, requiring the firm to repurchase certain securities and pay civil penalties, the office announced Thursday. [read post]
30 Jan 2019, 1:06 pm
Pro-Integrity Securities Evans, Makisha Feitelnerg, Brendan United Planners Financial Services LPL Financial LLC Jimenez, Mario Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Justafort, Frantz JP Morgan Securities LLC Chase Investment Services Maddox, Nicholas TCFG Wealth Management LLC US Bancorp Investments Gustavo… [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,… [read post]
27 Jan 2019, 8:39 am
A year before he died, husband rolled over about $119,000 from his work retirement plan into a traditional IRA managed by defendant LPL Financial, LLC. [read post]
24 Jan 2019, 12:46 pm
Bradley Taylor Pace (CRD #2097427) is a previously registered broker whose last employer was LPL Financial LLC (CRD #6413) of Orlando, FL. [read post]
22 Jan 2019, 8:43 am
His previous employers include LPL Financial LLC (CRD #6413), National Planning Corporation (CRD #29604) and Invest Financial Corporation (CRD #12984), all of Dallas. [read post]
17 Jan 2019, 8:35 am
Recently, we told you about a client dispute filed against broker and investment advisor Shon Edward Flaharty (CRD #2666498), with LPL Financial LLC (CRD #6413) of Clearwater, FL. [read post]
14 Jan 2019, 7:34 am
From July 2008 through June 2011 Radke was associated with LPL Financial LLC. [read post]
11 Jan 2019, 7:56 am
Mark Dickman also allegedly engaged in non-disclosure of beneficiary status within client trust, in violation of LPL Financial LLC’s policy, according to a second Employment Separation Complaint filed on December 20, 2018 by LPL Financial LLC, Dickman’s FINRA BrokerCheck Report notes. [read post]
8 Jan 2019, 7:32 am
David John Volpe Allegedly Violated LPL Financial’s Private Securities Transactions Policy for Purported Involvement in Capital-raising Efforts David Volpe was discharged by LPL Financial LLC for alleged violation of LPL’s private securities transactions policy, according to an employment separation report under review by investor rights attorney Alan Rosca. [read post]
4 Jan 2019, 6:58 am
LPL Financial LLC, Respondent (FINRA Arbitration 18-01500, January 4, 2019)http://www.finra.org/sites/default/files/aao_documents/18-01500.pdfIn a FINRA Arbitration Statement of Claim filed in April 2018, public customer Claimant Nudelman asserted breach of fiduciary duty, negligence and negligent supervision, breach of contract and respondeat superior. [read post]
3 Jan 2019, 5:57 am
According to FINRA Disciplinary actions for December 2018, 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 Barrick, Tabor FBL Marketing Services, LLC Allstate Financial Services, LLC Conklin, Jeffrey The Huntington Investment Company… [read post]
3 Jan 2019, 5:54 am
Inc Flores, Daniel Woodbury Financial Services, Inc Princor Financial Services Corp Giraldo, Jose Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Assoc, Inc Heitz, Donald LPL Financial LLC First Command Financial Planning, Inc Jenkins, Elisabeth LPL Financial LLC ESL Investment Services, LLC Krize, Joshua… [read post]
29 Dec 2018, 7:42 am
In July 2016, LPL Financial LLC (LPL Financial) discharged Kabana claiming that the firm had concerns regarding the Representative’s practices in respect to variable annuity business and related responses to compliance. [read post]
20 Dec 2018, 10:19 am
(CRD #17587) and LPL Financial LLC (CRD #6413), also of Pacific Grove, CA. [read post]
18 Dec 2018, 11:08 am
Hill Securities, LLP Suntrust Investment Services, Inc Lloyd Johnston Capital Financial Services, Inc BP&J / LLC Robin Lomont Bradley Pace LPL Financial LLC A.J. [read post]
18 Dec 2018, 11:03 am
Morgan Securities LLC Virginia Nichols LPL Financial LLC Merrill Lynch, Pierce, Fenner & Smith Inc Michael Nickoli AXA Advisors, LLC NML Investors, LLC Jeffrey Offen Craft Capital Management LLC Salomon Whitney Financial Issac Onu NY Life Securities LLC Wells Fargo Advisors, LLC Michael Resciniti Spartan… [read post]
11 Dec 2018, 9:53 am
See Fidelity Brokerage Services, LLC, Rel. [read post]
