Search for: "LPL FINANCIAL LLC"
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7 Oct 2014, 7:31 am
LPL Financial, LLC (LPL) is one of the largest independent brokerage firms in the United States employing approximately 13,840 registered reps and advisers. [read post]
30 Sep 2014, 6:40 am
Schulz, LPL Financial, LLC, and Commonwealth Financial Network. [read post]
24 Sep 2014, 2:47 pm
According to BrokerCheck, Mays was a registered broker in Corpus Christi, TX with LPL Financial from 09/2004 – 04/2009, Summit Brokerage Services from 04/2009 – 12/2010 and SWS Financial Services from 01/2011 – 11/2011. [read post]
8 Sep 2014, 6:23 am
Since then, he has been associated with several firms and from December 2010, to March 2013, Lewis was associated with LPL Financial LLC (LPL). [read post]
18 Aug 2014, 12:51 pm
If you believe you have suffered financial losses as a result of the actions of LPL Financial, LLC; Mr. [read post]
15 Aug 2014, 10:25 am
He worked in Maryland with LPL Financial from 12/2001 – 03/2012 and with Summit Brokerage Services from 03/2012 – 04/2013. [read post]
29 Jul 2014, 5:57 pm
FINRA also alleged that between October 31, 2001 and April 30, 2012, Bracey failed to timely notify Multi-Financial, and later LPL Financial LLC, of two separate outside business activities. [read post]
23 Jul 2014, 5:55 am
From 1999 through December 2012, Talebi was associated with LPL Financial LLC (LPL Financial). [read post]
20 Jun 2014, 11:22 am
According to Francisco’s FINRA Broker Report, he was employed by LPL Financial from July 2002 through November 2010. [read post]
4 Jun 2014, 8:50 am
Furthermore, according to FINRA’s BrokerCheck, during the relevant time, Wetzel was a registered representative for the broker dealer LPL Financial from 09/2006 – 08/2012. [read post]
4 Jun 2014, 5:41 am
On March 10, 2014, Larry Steven Werbel submitted a Letter of Acceptance, agreeing to accept the sanctions handed down by the Financial Industry Regulatory Authority (FINRA) for alleged violations relating to the sale of penny stocks during his tenure at LPL Financial, LLC. [read post]
2 Jun 2014, 2:34 pm
According to FINRA’s BrokerCheck, Francisco was a registered broker with LPL Financial from 07/2002 – 11/2010. [read post]
30 May 2014, 6:44 am
In settling this matter, LPL Financial LLC neither admitted nor denied the charges, but consented to the entry of FINRA’s findings. [read post]
19 May 2014, 4:42 am
The Financial Industry Regulatory Authority (FINRA) recently barred LPL Financial, LLC (LPL) broker Reniero Francisco (Francisco) concerning allegations that the broker failed to cooperate with FINRA’s investigation of Francisco’s involvement with Arista LLC, a registered Commodity Pool Operator (CPO) with its principal place of business in Newport Coast, California. [read post]
6 May 2014, 4:26 pm
Forman Cybersecurity has increasingly become a critical issue for all types of businesses, few more so than broker-dealers, investment advisers and others in the financial sector. [read post]
1 May 2014, 11:17 am
Such is the case when last month the Financial Industry Regulatory Authority (FINRA) fined LPL Financial, LLC $950,000. [read post]
25 Apr 2014, 6:30 am
On March 24, 2014, LPL Financial LLC, the fourth largest broker dealer, measured by number of salespersons, was fined $950,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise the way that its brokers marketed and sold nontraditional investments. [read post]
11 Apr 2014, 3:11 pm
The FINRA fine that topped the list was that handed to, again, LPL Financial LLC in the amount of $9 million (including a fund set up to compensate customers) for "systemic email failures" and "misstatements to FINRA," reported on May 21, 2013. [read post]
27 Mar 2014, 12:14 pm
LPL Financial LLC has been hit again for supervisory failures stemming from the recommendation of non-traded real estate investment trusts (REITs), as well as other illiquid investments, begging the question whether the fines are large enough to deter future bad conduct. [read post]
24 Mar 2014, 4:50 pm
According to reports, the Financial Industry Regulatory Authority (FINRA) recently fined LPL Financial $950,000 for failure to adequately supervise the sale of alternative investment. [read post]
