Search for: "LPL Financial Services"
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27 Dec 2017, 12:32 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded $462,000 to former clients of Charles Fackrell, a former LPL broker serving prison time currently. [read post]
20 Dec 2022, 9:11 am
11/02/2017 – 12/07/2022, LPL FINANCIAL LLC (CRD#:6413), MANHATTAN BEACH, CA, B, 06/22/2015 – 11/09/2017, AMERIPRISE FINANCIAL SERVICES, INC. [read post]
28 Oct 2011, 5:52 am
LPL Financial LLC expects to lose 100 bank brokers this quarter due to the continuing integration of Uvest Financial Services Group Inc., its broker-dealer that specializes in serving financial advisers that work with financial institutions. [read post]
28 Oct 2014, 5:35 am
LPL Financial recently has been the focus of regulators for sales of high commission products such as variable annuities and non-traded REITs. [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]
1 May 2014, 11:17 am
As the managing director for independent advisor services, he was responsible for overseeing almost 14,000 representatives and financial advisors. [read post]
21 May 2013, 3:31 pm
The Financial Industry Regulatory Authority (FINRA) has levied a $7.5 million fine against LPL Financial LLC (LPL) for a series of email system failures which prevented LPL from accessing hundreds of millions of emails and reviewing tens of millions of other emails. [read post]
15 Dec 2014, 8:01 am
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against LPL Financial LLC (LPL) broker Jon Cox (Cox) alleging that Cox may have engaged in unauthorized outside business activities, private securities transactions (a/k/a “selling away”), and/or unauthorized customer loans. [read post]
16 Dec 2021, 9:53 pm
Stephen Rafter was named an LPL financial adviser for SECU Financial Partners. [read post]
19 Nov 2018, 9:50 am
According to the Florida Department of Financial Services on October 2, 2017, a consent order was filed involving former financial advisor Christopher Laws. [read post]
8 Mar 2021, 2:24 pm
John Harrington joined SECU Financial Partners as an LPL financial adviser. [read post]
FINRA Fines LPL Financial $950,000 for Violation Related to Sales of Alternative Investment Products
4 Apr 2014, 7:01 am
This is the second time for LPL Financial is in trouble with regulators for deficiencies in supervision of sales of alternative investments, as LPL Financial has spent the past year and a half tangling with securities regulators. [read post]
16 May 2007, 12:30 pm
Along with Mutual Service Corp., the other broker-dealers were Associated Securities Corp. of El Segundo, Calif., and Waterstone Financial Group of Itasca, Ill. [read post]
24 Apr 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: The Massachusetts Securities Division fined LPL Financial $500,000 and ordered LPL to pay $2 million in restitution for selling non-traded REITs to customers that were not qualified for alternative investments. [read post]
2 Jun 2021, 7:05 am
LPL Financial Broker James Couture Charged with Defrauding Clients According to a press announcement on June 1, 2020, the Securities and Exchange Commission charged former LPL Financial advisor James Kenneth Couture with defrauding his advisory clients by allegedly stealing approximately $2.9 million from them. [read post]
10 Feb 2014, 6:01 am
Dahn (Dahn) has been barred by the Financial Industry Regulatory Authority (FINRA) concerning allegations that he privately borrowed money from at least two customers, an act constituting securities fraud, while being a registered representative of Mutual Service Corporation (MSC) and LPL Financial LLC (LPL). [read post]
19 Jul 2012, 11:45 am
Covino worked at Prospera Financial Services prior to his suspension, and had previously worked at LPL Financial and VSR Financial Services. [read post]
2 Feb 2021, 7:25 am
The post Did You Invest With Raymond Ferro Of Woodbury Financial Services? [read post]
27 Oct 2016, 6:15 am
Lebel worked for LPL Financial from 2008 to 2014. [read post]
16 Apr 2015, 12:01 pm
Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. [read post]
