Search for: "LPL FINANCIAL LLC"
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14 Nov 2017, 8:18 am
” Prior to that, he was associated with LPL Financial in Lake Charles, LA from September 2009 until October 2013. [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]
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]
28 Feb 2023, 6:46 am
J.P Turner & Company, LLC Mark Miranda Spartan Capital Securities, LLVC Network 1 Financial Securities Inc Patrick Thayer LPL Financial LLC Parkland Securities, LLC Brian Wurdemann RBC Capital Markets, LLC UBS Financial Services Inc. [read post]
11 Nov 2022, 9:07 am
LLC RBC Capital Markets, LLC Cedric Wade LPL Financial LLC National Planning Corporation For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
25 Oct 2023, 8:05 am
Morgan Stanley Timothy Claypool Northwestern Mutual Investment Services, LLC Farmers Financial Solutions, LLC Ebony Parks LPL Financial LLC Wells Fargo Clearing Services, LLC Rashawn Russell Deutsche Bank Securities Inc. [read post]
24 Jan 2022, 2:01 pm
LPL Financial Corporation Juanita O’Neal TD Ameritrade, Inc. [read post]
6 Dec 2021, 9:58 am
LPL Financial Corporation Juanita O’Neal TD Ameritrade, Inc. [read post]
7 Jul 2021, 2:01 pm
Morgan Securities LLC Amanda Berry MML Investors Services, LLC NYLife Securities LLC Tiffany Burgess James Carpenter II Simplified Wealth Management LPL Financial LLC Jinnie Chean Allstate Financial Services, LLC Paul Furusho AWA Capital, Inc Comprehensive Asset Management & Servicing, Inc. [read post]
19 Apr 2019, 5:39 am
According to FINRA Disciplinary actions for March 2019, 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 Barrera, Cynthia Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Beyn, Edward Rothchild Lieberman LLC Craig Scott Capital Blanchard, Keith Waddell & Reed Block, Gabriel… [read post]
26 Nov 2019, 7:02 am
AXA Advisors LLC The Equitable Lie Assurance Society of the United States Su, Zachary JP Morgan Securities World Financial Group Uwechue, Anthony JP Morgan Securities Chase Investment Serivces Wright, Tiana Northwestern Mutual Investment Services Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
29 Mar 2023, 12:50 am
LPL Financial’s rep allegedly caused five LPL customers to transfer funds from their LPL accounts, or from annuity contracts that the customers held, directly to the Entity or to accounts held at a third-party custodian for which the Entity was the advisor. [read post]
30 Dec 2022, 7:37 am
LLC RBC Capital Markets, LLC Cedric Wade LPL Financial LLC National Planning Corporation FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
25 Oct 2023, 12:36 pm
Charles Connors LPL Financial LLC Transamerica Financial Advisors, Inc. [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]
8 Mar 2017, 11:49 am
Talebi was registered with LPL Financial (through March 2012) and Royal Alliance Associates, Inc. [read post]
28 May 2021, 1:17 pm
James Childress LPL Financial LLC Securities Service Network, Inc. [read post]
30 Oct 2013, 11:47 am
Recently, a FINRA arbitration panel awarded an elderly couple $1.4 million in compensatory damages against LPL Financial, LLC for their role in promoting TIC investments. [read post]
31 Jul 2023, 12:40 pm
(CRD#:7059), NEW YORK, NY IA, 12/03/2012 – 11/16/2016, LPL FINANCIAL LLC (CRD#:6413), ARDSLEY, NY B, 11/30/2012 – 11/16/2016, LPL FINANCIAL LLC (CRD#:6413), ARDSLEY, NY Clarice Saw’s BrokerCheck record indicates three customer complaints have been filed against her. [read post]
26 Oct 2023, 7:49 am
Morgan Stanley Timothy Claypool Northwestern Mutual Investment Services, LLC Farmers Financial Solutions, LLC Ebony Parks LPL Financial LLC Wells Fargo Clearing Services, LLC Rashawn Russell Deutsche Bank Securities Inc. [read post]
