Search for: "LPL FINANCIAL LLC"
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3 Dec 2018, 1:44 pm
From April 2000 until December 2013 Pariser was associated with LPL Financial LLC. [read post]
19 Nov 2018, 9:50 am
Christopher Laws Suspended Have you suffered losses investing with Christopher Laws and LPL Financial? [read post]
31 Oct 2018, 12:41 pm
FINRA Sanctions LPL for Complaint Reporting Violations and AML Program Failures According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has fined LPL Financial LLC $2.75 million for complaint-reporting and anti-money laundering program failures over a three year period. [read post]
26 Oct 2018, 7:34 am
According to FINRA Disciplinary actions for October 2018, 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 Jason Beem Morgan Stanley UBS Financial Services Inc Stephen Grivas Blackbook Capital LLC Obsidian Financial Group LLC Eric Negron LPL Financial… [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… [read post]
6 Oct 2018, 10:08 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Philip Nalesnik (Nalesnik), formerly associated with LPL Financial, LLC (LPL Financial) in Pottsville, Pennsylvania was terminated by the firm. [read post]
5 Oct 2018, 8:51 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former advisor Suhail Khan , formerly registered with LPL Financial, LLC in Chicago, Illinois. [read post]
4 Oct 2018, 2:25 pm
From July 2010 until January 2017 Woods was registered with LPL Financial LLC. [read post]
2 Oct 2018, 5:44 am
According to FINRA Disciplinary actions for September 2018, 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 Heath Bowen Allegis Investment Services, LLC Signator Financial Services, Inc William Eaton LPL Financial, LLC Wells Fargo Advisors, LLC Yosef Fox Ditto… [read post]
2 Oct 2018, 5:40 am
Gretchen Jenkins LPL Financial LLC ESL Investment Services, LLC Phillip Johnson D.H. [read post]
1 Oct 2018, 6:37 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Suhail Khan (Khan), formerly associated with LPL Financial, LLC. [read post]
25 Sep 2018, 7:36 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Clifton Roberts (Roberts), formerly associated with LPL Financial LLC (LPL Financial) in Houston, Texas was terminated for cause by LPL Financial in April 2018 after the firm made allegations that Roberts violated of firm policy regarding outside business activities (OBAs). [read post]
24 Sep 2018, 6:21 am
From January 2006 to December 2017, Crawford was registered with LPL Financial, LLC. [read post]
4 Sep 2018, 2:22 pm
From April 2003 to June 2013, Warner was registered with LPL Financial LLC. [read post]
28 Aug 2018, 11:30 am
Morgan Securities LLC Wells Fargo Advisors, LLC Bradley Pace LPL Financial LLC A.J. [read post]
24 Aug 2018, 6:34 am
The post LPL Agrees to $26 Million Settlement Following Allegations of Selling Unregistered Securities appeared first on Zamansky LLC. [read post]
21 Aug 2018, 5:17 am
Morgan Securities LLC Chase Investment Services Corp Joshua David Ellis LPL Financial LLC BCG Securities, Inc James Benjamin Farris Merrill Lynch, Pierce, Fenner & Smith Inc UBS Financial Services Inc Samuel LaWayne Haddix Ameriprise Financial Services, Inc IDS Life Insurance Company Mark Anthony Hernandez UBS Financial Services Inc … [read post]
20 Aug 2018, 12:51 pm
Shon Flaharty (CRD #2666498) is a currently registered broker and investment advisor with LPL Financial LLC (CRD #6413) of Clearwater, FL. [read post]
30 Jul 2018, 9:03 am
According to BrokerCheck Records kept by the Financial Industry Regulative Authority (FINRA), In February 2017, LPL Financial LLC (LPL Financial) terminated Spangler for executing unauthorized trades in non-discretionary customer accounts. [read post]
27 Jul 2018, 7:54 am
From December 2009 until January 2011 Scholl was associated with LPL Financial LLC. [read post]
