Search for: "LPL FINANCIAL LLC"
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24 Aug 2011, 11:11 am
The Laeroc funds are real estate private placements (under Regulation D) that were sold by brokerage firms like LPL Financial LLC and Commonwealth Financial Network. [read post]
29 Mar 2011, 2:06 pm
Earlier this month, LPL Financial, LLC was fined $100,000 by the Financial Industry Regulatory Authority ("FINRA") for failing to maintain supervisory procedures to catch a representative who was transferring assets from a customer account to the broker's personal account with the firm. [read post]
8 Jan 2010, 9:12 am
Before joining Next Financial, McGilvrey was affiliated with LPL Financial of Boston. [read post]
29 Oct 2009, 3:22 pm
Boyd Page, senior partner of Page Perry, LLC in Atlanta. [read post]
18 Sep 2009, 7:32 am
The brokerage firms of Next Financial and LPL Financial have both been added as defendants in a Bexar County, Texas, lawsuit that claims an elderly San Antonio couple -Thomas H. [read post]
20 Aug 2009, 8:55 am
Other brokerages, including Charles Schwab, Raymond James Financial and LPL Financial are reviewing their policies concerning ETFs, with some firms posting information on their respective Web sites that inverse and leveraged ETFs "are not right for everyone. [read post]
4 Aug 2009, 7:00 am
Boyd Page of Page Perry,LLC noted "These are highly toxic securities. [read post]
28 Oct 2008, 2:35 pm
AIG's largest group of advisors, The Financial Services Network of San Mateo, California, and its 230 advisors have just joined LPL Financial of Boston, according to an October 20, 2008 story in Investment News. [read post]
13 Nov 2007, 5:50 am
Since the early 90's, only a select group of large patent holders controlled the majority of IP rights, leaving smaller players with little recourse in establishing and protecting innovative IP rights.According to Raymond Millien (PCT Capital LLC), and Ron Laurie (Inflexion Point Strategy LLC), we are now living in an era of "IP for the masses"where the IP marketplace operates according to the Golden Rule -- those with the gold (i.e., IP rights) can now make the… [read post]
