Search for: "LPL FINANCIAL LLC"
Results 421 - 440
of 469
Sort by Relevance
|
Sort by Date
18 Mar 2014, 6:01 am
Brunhaver (Brunhaver) formerly of LPL Financial, LLC (LPL) concerning allegations Brunhaver used an unauthorized e-mail account for communications related to his securities business and committed securities fraud in making oral and written misrepresentations to customers regarding a non-traded REIT. [read post]
19 Feb 2014, 10:36 am
Defendant LPL Financial LLC (“LPL Financial”) is a wholly-owned subsidiary of defendant LPL Holdings, Inc. [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]
23 Dec 2013, 2:21 am
In 1990, Caldero entered the securities industry and during the times relevant to this matter was registered with FINRA member firm LPL Financial LLC. [read post]
6 Dec 2013, 1:41 pm
As a result, he was fired from LPL Financial. [read post]
3 Dec 2013, 6:50 am
Brown was formerly registered with FINRA firm LPL Financial Corporation (LPL Financial) from 1989 through May 2009. [read post]
5 Nov 2013, 1:56 pm
Have you suffered financial losses as a result of your dealings with ex-broker James Scott McKee? [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]
3 Sep 2013, 8:23 am
Miller (Miller), a securities broker, was terminated by LPL Financial Corp. [read post]
5 Aug 2013, 4:11 am
In the Matter of Michael Jeffery Wiseman, Respondent (AWC 2012031332001, July 30, 2013).Wiseman first became registered in 1987 and from 2007 to June 14, 2012, he was registered with LPL Financial LLC, until his June 14, 2012 discharge. [read post]
11 Jul 2013, 7:25 am
, LPL Financial LLC, Commonwealth Financial Network, MML Investor Services LLC, Investors Capital Corp., Signator Investors Inc., Meyers Associates LP, and WFG Investments Inc. [read post]
10 Jun 2013, 1:50 pm
Edwards & Sons from 01/2004-06/2006, Merrill Lynch from 06/2006-10/2011, and LPL Financial from 11/2011-11/2012. [read post]
10 Jun 2013, 6:04 am
FINRA fined LPL Financial LLC (LPL) $7.5 million for significant failures in its email system that prevented LPL from accessing hundreds of millions of emails, and from reviewing tens of millions of other emails over an approximately six-year period. [read post]
24 May 2013, 2:13 pm
Edwards & Son, Inc. from 08/2004 – 02/2007, Ameriprise Advisor Services, Inc. from 02/2007 – 05/2009, and LPL Financial, LLC from 05/2009 – 05/2013. [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]
21 May 2013, 8:11 am
FINRA fined LPL Financial LLC (LPL) $7.5 million for 35 separate, significant email system failures, which prevented LPL from accessing hundreds of millions of emails and reviewing tens of millions of other emails. [read post]
27 Mar 2013, 11:12 am
For example, according to a recent Investment News report, stock and promissory notes investments in Silver Oak Leasing were sold by Alberto Neira, a financial advisor that was until recently registered with LPL Financial recently barred Neira from the securities industry. [read post]
11 Feb 2013, 7:51 am
The honor is based on a ranking of all registered advisors supported by LPL Financial LLC, the nation’s largest independent broker-dealer, and is awarded to less than 1% of the [read post]
28 Jan 2013, 6:15 am
As of April 1, LPL reps no longer can source those kinds of mutual funds directly from a fund sponsor such as ProFund Advisors LLC or Rydex Funds. [read post]
1 Aug 2012, 5:51 am
William Dwyer, President, National Sales and Marketing, LPL Financial Kenneth D. [read post]
