Search for: "LPL FINANCIAL LLC"
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30 Oct 2017, 7:30 am
Update: NC Fines LPL for Charles Fackrell Ponzi Scheme Did you lose money investing with Charles Fackrell and LPL Financial? [read post]
8 Oct 2017, 7:03 am
From September 2009 until October 2013 Veron was associated with LPL Financial LLC. [read post]
18 Sep 2017, 12:50 pm
According to her FINRA BrokerCheck report, Sonya Camarco, also allegedly known as Sonya Fatchett, was registered with LPL Financial LLC in Colorado Springs, CO from 02/27/2004 until 08/10/2017 when she was discharged for the above allegations. [read post]
5 Sep 2017, 12:27 pm
Finally, from 2004 to 2017, Camarco was associated with LPL Financial LLC. [read post]
1 Sep 2017, 8:28 am
As stated in the SEC’s complaint, Camarco was a registered representative and investment adviser representative of LPL Financial LLC (“LPL”) from February 2004 through August 2017. [read post]
24 Aug 2017, 6:27 am
Camarco was registered with LPL Financial from 2004 until 2017. [read post]
1 Aug 2017, 10:59 am
According to Investment News, they were registered with LPL Financial and affiliated with Federal Employee Benefits Counselors. [read post]
1 Aug 2017, 8:14 am
According to Investment News, they were registered with LPL Financial and affiliated with Federal Employee Benefits Counselors. [read post]
12 Jul 2017, 12:02 pm
From February 2013 until May 2015, Spolar was associated with LPL Financial LLC. [read post]
5 Jul 2017, 1:31 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), in November 2016, Thomas Oliphint (Oliphint) was discharged and terminated by LPL Financial LLC (LPL) over allegations that Oliphint violated firm policy regarding outside business activities. [read post]
6 Jun 2017, 12:32 pm
She was previously employed at LPL Financial LLC (8/2006 – 4/2015), Commonwealth Financial Network (7/1998 – 8/2006), American Express Financial Advisors (6/1992 – 7/1998), and IDS Life Insurance Company (06/1992 – 7/1998). [read post]
31 May 2017, 6:07 am
The investment lawyers of Gana LLP are investigating the LPL Financial LLC’s (LPL) termination of former broker Christopher Russell (Russell) working out of the Huntsville, Alabama office. [read post]
27 May 2017, 7:49 am
Our firm is investigating claims made by regulators and brokerage firms including LPL Financial LLC (LPL Financial) concerning broker Paul Dorion (Dorion). [read post]
13 May 2017, 8:36 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Michael Babyak (Babyak), formerly associated with brokerage firms LPL Financial LLC (LPL) and Leigh Baldwin & Co., LLC (Leigh Baldwin). [read post]
13 May 2017, 7:45 am
Our firm’s investment attorneys are investigating a complaint filed by the Commonwealth of Massachusetts Securities Division (Massachusetts) against LPL Financial LLC (LPL) and the firm’s broker Roger Zullo (Zullo) Zullo alleging that Zullo fabricated the financial suitability profiles of numerous LPL clients, selling them scores of large, illiquid, unsuitable, high-commission variable annuities, at substantial upfront profits to… [read post]
6 Apr 2017, 6:16 am
Pilosi, Respondent (AWC 2016051455601, April 5, 2017).The AWC asserts that Pilosi entered the securities industry in 1992 and from 2006 to June 2012 was registered with FINRA member firm RBC Capital Markets, LLC.; and, thereafter, with LPL Financial LLC until October 2016.$150,000 BorrowedThe AWC asserts that on four occasions between July 2009 and March 2012, Pilosi borrowed a total of $150,000 from an individua... [read post]
8 Mar 2017, 11:49 am
Talebi was registered with LPL Financial (through March 2012) and Royal Alliance Associates, Inc. [read post]
6 Feb 2017, 7:20 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Dominic DeBruin (DeBruin), formerly associated with LPL Financial, LLC (LPL Financial). [read post]
30 Jan 2017, 6:16 am
The FINRA investigation followed Likens’ termination from his previous employer LPL Financial LLC (LPL) in May 2016. [read post]
16 Jan 2017, 6:47 am
From March 2012 through October 2013 Balser was associated with LPL Financial LLC. [read post]
