Search for: "LPL FINANCIAL LLC"
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20 Jul 2015, 3:15 am
, Respondent (AWC #20015044377401, July, 16, 2015).Clark entered the industry in 2007 and was registered with LPL Financial LLC fr... [read post]
15 Jul 2015, 11:07 am
(collectively, “Raymond James”), and LPL Financial LLC (“LPL”) must pay over $30 million to investors who were overcharged on mutual fund sales for certain accounts. [read post]
25 Jun 2015, 6:18 am
Finally, from May 2011, until January 2015, Tricarico was associated with LPL Financial LLC (LPL). [read post]
22 Jun 2015, 6:17 am
From March 2006 until February 2014, Hackney was associated with LPL Financial LLC (LPL). [read post]
15 Jun 2015, 8:01 am
The Financial Industry Regulatory Authority (FINRA) entered into an agreement whereby the regulatory fined LPL Financial LLC (LPL) and fined it $10 million for broad supervisory failures in a number of key areas, including the sales of non-traditional exchange-traded funds (Non-Traditional ETFs), certain variable annuity contracts, non-traded real estate investment trusts (Non-Traded REITs) and other complex products, as well as its failure to monitor and… [read post]
26 May 2015, 11:32 am
On May 6, 2015, LPL Financial LLC (“LPL”) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) to the Financial Industry Regulatory Authority’s (“FINRA”) Department of Enforcement to settle allegations that LPL violated FINRA supervisory rules. [read post]
8 May 2015, 10:42 am
On the heels of an announcement from the Financial Industry Regulatory Authority (FINRA) that LPL Financial LLC has been fined approximately $12 million as a result of lax supervision, FINRA barred former LPL broker Charles Fackrell as a result of him refusing to comply with FINRA’s request for information. [read post]
27 Apr 2015, 6:29 am
From 1989 to present Romero has been registered with LPL Financial, LLC (LPL). [read post]
16 Apr 2015, 12:01 pm
In the New Hampshire matter, LPL clients held a higher percentage of their portfolios in uncertain alternative investments than what was allowed by LPL’s internal rules.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
15 Apr 2015, 7:06 am
FINRA found that from approximately May 2009, through November 2012, Schmidt borrowed approximately $2.25 million from seven customers of LPL Financial LLC (LPL) and also engaged in outside business activities without notifying the firm. [read post]
10 Apr 2015, 7:01 am
He began the venture without notifying his former firm, LPL Financial. [read post]
12 Mar 2015, 6:45 am
LPL Financial LLC (LPL) has terminated its former broker Charles Fackrell (Fackrell), registered with The Financial Industry Regulatory Authority (FINRA), alleging that the broker engaged in unapproved private securities transactions (known in the industry as “selling away”) and also due to a felony arrest for obtaining property under false pretenses. [read post]
13 Feb 2015, 6:50 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned former LPL Financial LLC (LPL) broker Marc Baldinger (Baldinger) concerning allegations that between August 2010 and November 2012, Baldinger participated in private securities transactions (a/k/a “selling away”) without prior approval of LPL. [read post]
17 Dec 2014, 8:10 am
LPL Financial LLC Maitland Securities, Inc. [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]
25 Nov 2014, 8:09 am
In January 2013, Maleche became associated as a GSR with LPL Financial, LLC. [read post]
25 Nov 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Blake Richards, a former broker for LPL Financial LLC, will pay more than $1.9 million in restitution to his clients to resolve an SEC fraud suit against him. [read post]
23 Nov 2014, 11:58 am
According to InvestmentNews, LPL Financial, LLC (LPL Financial) was recently fined by Massachusetts securities regulators fined for sales practices concerning variable annuities and agreed to reimburse senior citizens $541,000 for surrender charges they paid when they switched variable annuities. [read post]
6 Nov 2014, 3:03 pm
In addition to Securities America, LPL Financial Holdings and AIG Advisor Group have also suspended the sale of select REITs. [read post]
10 Oct 2014, 3:43 pm
Brokerage firms, like LPL Financial, have a responsibility to adequately supervise their employees. [read post]
