Search for: "LPL FINANCIAL LLC"
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30 Jul 2012, 11:14 am
The matter at hand is slightly complicated by the fact that NRP Financial Inc. was purchased by LPL Investment Holdings Inc. in July of 2010. [read post]
26 Mar 2012, 7:23 am
According to his plea agreement, Kravitz was an independent client investment representative with LPL Financial Corp., formerly Waterstone Financial Corp., and sold securities through those financial institutions. [read post]
22 Mar 2012, 2:28 pm
According to SEC documents, Arthur Lin, a former LPL Financial registered representative has been accused of selling “…$5,360,000 in unregistered promissory notes issued by Malarz Equity Investments, LLC to at least 20 investors, including 15 LPL customers. [read post]
23 Feb 2012, 7:26 am
According to various reports, a broker formally affiliated with Morgan Stanley Smith Barney, LLC, Berthel Fisher & Co., and LPL Financial was recently arrested in Oregon for allegedly stealing $584,000 from three investors. [read post]
21 Feb 2012, 9:20 am
LPL Financial LLC also has had to face the music regarding TIC deals gone bad. [read post]
16 Feb 2012, 6:44 am
The Investment News is reporting that LPL Financial is on the hook for a $1.4 million arbitration award to an elderly couple who bought real estate tenant in common deals. [read post]
15 Feb 2012, 9:33 am
The TICs were sold by former LPL broker David Glenn. [read post]
15 Feb 2012, 8:08 am
According to the investors' lawyer, LPL Financial, LLC ("LPL") knew that the TICs boosted their yield with financial "tricks. [read post]
15 Feb 2012, 3:01 am
In a Financial Industry Regulatory Authority (? [read post]
14 Feb 2012, 2:22 pm
LPL Financial recently was ordered to pay $1.4 million to an elderly California couple who alleged that the firm defrauded them when it sold them tenant in common investments. [read post]
19 Jan 2012, 7:34 am
Cook – Oberlin Financial, National Retirement Partners (or NRP Financial), and LPL Financial (the firm that acquired NRP Financial). [read post]
16 Jan 2012, 4:42 pm
Larry Alan Prelesnik, formerly with LPL Financial LLC, in Palm Desert, California, was fined $7,500 and suspended from association with any FINRA member for 20 business days in connection with a finding that Prelesnik sent oversimplified and incomplete solicitations to clients in connection with a 100 percent bond positioning strategy. [read post]
10 Jan 2012, 3:36 pm
National Retirement Partners Inc., which is NRP Financial’s parent, sold its assets to LPL for $27M. [read post]
16 Dec 2011, 7:05 pm
The funds were placed in JBW Capital LLC. [read post]
13 Dec 2011, 1:39 pm
Malarz and Lin (who was at the time a registered representative at LPL Financial Corporation), allegedly solicited investors to invest in Malarz Equity Investments, LLC and Malarz Equity Investment, Inc., which were purportedly in the business of converting apartments to condominiums, and then selling condominium units to purchasers. [read post]
5 Dec 2011, 12:53 pm
The alert reminded firms of supervisory requirements under FINRA rules, noted common deficiencies, and described strong compliance practices.andnbsp; A tutorial on strong compliance and supervisory practices may help regulators head off situations like the one at LPL Financial LLC, which was recently fined $100,000 for failing to supervise on of its brokers who worked out of a branch office. [read post]
28 Nov 2011, 11:46 am
LPL Financial LLC was fined $100,000 by the Oregon Department of Consumer and Business Services for unsuitable sales of high-risk oil and gas partnerships to clients, including many who are elderly, in poor health, and incapable of making financial decisions (“LPL fined over sales of risky partnerships to seniors,” InvestmentNews). [read post]
28 Nov 2011, 9:47 am
According to the investmentnews.com Oregon regulators in charge of securities have fined LPL Financial LLC $100,000 “for failing to supervise a broker that sold high-risk oil and gas partnerships to clients, including many who are elderly. [read post]
27 Nov 2011, 12:18 pm
LPL Financial LLC has been fined $100,000 for failing to supervise Jack Kleck, a broker who sold unsuitably risky investments to clients in their 80s, the Oregon Department of Consumer and Business Services announced on Nov. 22. [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]
