Search for: "LPL FINANCIAL CORPORATION"
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19 Aug 2022, 9:37 am
According to FINRA Disciplinary actions for Aug 2022, 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 Andrew Edenbaum Allliance Global Partners National Securities Corporation Keith Esp Vanderbilt Securities, LLC LPL Financial LLC Karl Foust Jr. [read post]
19 Aug 2022, 8:54 am
Pruco Securities, LLC Ann Montgomery LPL Financial LLC National Planning Corporation Sean Winkler Vanguard Marketing Corporation FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
14 Jul 2022, 7:39 am
(CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East Falmouth, MA, and Securities America, Inc. [read post]
5 Jul 2022, 9:04 am
Henry Moore LPL Financial LLC Summit Brokerage Services, Inc. [read post]
1 Jun 2022, 8:46 am
Pruco Securities, LLC Guy Kossuth Northwestern Mutual Investment Services, LLC NYLife Securities LLC Christopher McFadden Equitable Advisors, LLC LPL Financial LLC Ann Montgomery LPL Financial LLC National Planning Corporation Michael Pau MML Investors Services, LLC MSI Financial Services, Inc. [read post]
19 Apr 2022, 7:21 am
(CRD#:10641), New Bedford, MA 01/10/2000 – 03/12/2008, LPL FINANCIAL CORPORATION (CRD#:6413), E. [read post]
31 Jan 2022, 11:41 am
Last year, for example, an advisor was fired from LPL Financial for allegedly stating racist remarks leaked on TikTok… Racial equity has garnered massive attention in recent years following the killings of George Floyd, Breonna Taylor, Ahmaud Arbery and others. [read post]
24 Jan 2022, 2:01 pm
LPL Financial Corporation Juanita O’Neal TD Ameritrade, Inc. [read post]
24 Jan 2022, 1:43 pm
Bhaskar Vyas Interfirst Capital Corporation Western International Securities, Inc. [read post]
6 Dec 2021, 9:58 am
LPL Financial Corporation Juanita O’Neal TD Ameritrade, Inc. [read post]
23 Aug 2021, 12:14 pm
David Volpe (David John Volpe CRD# 2543478) is a former registered broker who has previously worked for First Financial Equity Corporation, LPL Financial LLC, and National Planning Corporation, all in Scottsdale, Arizona. [read post]
2 Aug 2021, 9:39 am
FINRA Reportedly Suspends Kevin McCallum for Allegations of Unsuitable Investment Recommendations According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly suspended former LPL Financial advisor Kevin McCallum (CRD#: 2222586) for one year and reportedly ordered him to pay a fine of $25,000.00, disgorgement of $14,231.61 and restitution of $1,222,092.29. [read post]
22 Jun 2021, 7:37 am
McCallum consented to the suspension after FINRA alleged that from May 2017 through June 2019, while associated with LPL Financial LLC in Birmingham, Alabama, he made unsuitable recommendations to 12 customers, resulting in their overconcentration in a high-risk, publicly-traded business development company (BDC), believed to be Medley Capital Corporation. [read post]
28 May 2021, 1:40 pm
According to FINRA Disciplinary actions for May 2021, 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 Scott Kaufman Vanguard Marketing Corporation LPL Financial LLC Thomas Marino R.M. [read post]
28 May 2021, 1:27 pm
Michael Goonan Equitable Advisors, LLC Park Avenue Securities LLC Eileen Kenny LPL Financial LLC Private Advisor Group, LLC Norma Kuklis William Kursim Fidelity Brokerage Services LLC National Financial Services LLC John Margain State Farm VP Management Corp. [read post]
28 May 2021, 12:19 pm
Jason Anderson Merrill Lynch, Pierce, Fenner & Smith Incorporated LPL Financial LLC Solomon Apprey Pruco Securities, LLC AXA Advisors, LLC Ronald Bartsch Union Capital Company Liberty Partners Financial Services, LLC Spyridon Chandrinos Millennium Advisors, LLC Nelson Polun Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated … [read post]
28 May 2021, 10:52 am
LPL Financial LLC Zachary Bader National Securities Corporation Craig Scott Capital, LLC Peter Brown Oppenheimer & Co. [read post]
28 May 2021, 6:56 am
Rodney Repko Lincoln Financial Advisors Corporation Valic Financial Advisors, Inc. [read post]
12 Apr 2021, 11:33 am
This claim alleged that barred broker James Booth was under the employment of Invest Financial Corporation and LPL Financial when he carried our the alleged conversions, and in November 2020 this dispute was eventually settled for $80,000. [read post]
12 Apr 2021, 11:33 am
This claim alleged that barred broker James Booth was under the employment of Invest Financial Corporation and LPL Financial when he carried our the alleged conversions, and in November 2020 this dispute was eventually settled for $80,000. [read post]
