Search for: "LPL FINANCIAL LLC"
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25 Feb 2016, 5:34 am
From May 2003 through February 2015, Smietana was associated with LPL Financial LLC. [read post]
14 Feb 2016, 12:56 pm
In October 2015, LPL Financial LLC (LPL), Andrews’ then employing brokerage firm, discharged Andrews alleging that he was terminated after the firm received allegations that the broker misappropriated funds. [read post]
12 Feb 2016, 10:15 am
In November 2015, Kuchel’s then brokerage firm LPL Financial LLC (LPL) terminated Kuchel for cause for failing to appear for an interview with FINRA. [read post]
5 Feb 2016, 6:14 am
The investment fraud lawyers of Gana LLP are investigating customer complaints and the termination by LPL Financial, LLC (LPL) of broker Alfred Talens (Talens). [read post]
2 Feb 2016, 9:54 am
He also failed to notify his broker-dealer, LPL Financial, of his position as managing partner of two LLCs and his opening an account with an outside broker-dealer.Ronald W. [read post]
26 Jan 2016, 9:29 am
Advisors accused by state regulators of misleading investors include Sidney Evans with Equity Advisors LLC and Erryn Barkett with LPL Financial. [read post]
13 Jan 2016, 4:05 pm
Unlike investment advisors attached to large wire houses like Merrill Lynch or independent broker dealers like LPL Financial, independent RIA’s must absorb the costs of custody, compliance, and technology completely. [read post]
26 Dec 2015, 1:45 pm
Intense state regulatory scrutiny, a new fiduciary standard proposed by the DOL, and new pricing rules enforced by FINRA are all in part responsible for the decreased sales.In a recent settlement, LPL Financial agreed to pay $750,000 for selling unsuitable and unlawful REITs, showing the severity of regulators’ effect on the industry. [read post]
17 Dec 2015, 1:53 pm
LPL Financial has settled charges with the New Hampshire’s Bureau of Securities Regulation for selling non-traded REITs to New Hampshire investors. [read post]
6 Dec 2015, 6:05 am
The Financial Industry Regulatory Authority (FINRA) recently brought an enforcement action (FINRA No. 2015045744901) against Kasbar alleging that between 2010 and 2015, Kasbar engaged in an outside business activity beyond the scope of the approvals provided by his FINRA member firm – also referred to as “selling away” in the industry – HD Vest Investment Services (HD Vest) and LPL Financial, LLC (LPL). [read post]
8 Nov 2015, 11:34 am
From June 1998 until August 2015, Ahrens was associated with LPL Financial LLC (LPL Financial). [read post]
4 Nov 2015, 11:09 am
They were fined a cumulative total of $18.4 million according to FINRA’s most recent announcement.This follows a similar type of case three months earlier in which Wells Fargo, Raymond James, and LPL Financial were fined a combined $30 million for improper charging of fees. [read post]
16 Oct 2015, 9:49 am
Have you suffered losses investing with former LPL Financial Advisor Garrett Ahrens? [read post]
8 Oct 2015, 6:51 am
Associated with LPL since 1998, Mr. [read post]
8 Oct 2015, 6:37 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and suspended for two year broker Walter Chao (Chao) (FINRA No. 2012034046301) alleging that between February and May 2012, while registered with LPL Financial LLC (LPL Financial), Chao participated in nine private securities transactions totaling $1.27 million without LPL’s approval. [read post]
24 Sep 2015, 8:43 am
LPL Financial LLC has agreed to pay two more settlements, and these are big ones. [read post]
4 Sep 2015, 4:47 am
The Financial Industry Regulatory Authority (FINRA) barred former LPL Financial LLC (LPL) broker Thomas Caniford (Caniford) after the broker failed to respond to a letter from the regulator requesting information. [read post]
13 Aug 2015, 11:17 am
From the Desk of Jim Eccleston at Eccleston Law LLC: Original post can be found here.MetLife Inc. and LPL Financial, two large financial services firms, have entered a heated dispute over the poaching of 60 brokers. [read post]
11 Aug 2015, 6:27 am
According to FINRA BrokerCheck records Kenney has disclosed that he operates as a LPL Financial LLC (LPL Financial) broker under the DBA Frank Kenney Wealth Management in Calhoun, Georgia. [read post]
11 Aug 2015, 4:42 am
Interesting interview with former LPL OSJ about his team's move from LPL to the more responsive Securities America.Financial Advisor IQ - Ex-LPL Team Gets Fewer Headaches at Securities America---------Mark Astarita and the attorneys at Sallah Astarita & Cox, LLC represent brokers and OSJs across the country who are changing, or considering changing, broker dealers. [read post]
