Search for: "LPL Financial Corp." Results 41 - 60 of 91
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3 Jun 2019, 11:11 am by ccollins
Prior to Commonwealth, he was a registered broker with LPL Financial (LPLA), FBT Investments, Sisung Securities, Investment Financial Corp., American Frontier Financial Corp., Dickinson and Company, and FN Wolf & Company. [read post]
25 Apr 2019, 11:59 am by Silver Law Group
According to FINRA Disciplinary actions for April 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Acca, Lisa   Arive Capital Markets   Global Arena Capital Corp   Boggs, Marcus   Merrill Lynch, Pierce, Fenner & Smith Inc   Bank of America… [read post]
19 Apr 2019, 5:39 am by Silver Law Group
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]
12 Apr 2019, 8:25 am by Silver Law Group
According to FINRA Disciplinary actions for February 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Arizmendi, Jose   Silber Bennett Financial, Inc   TCFG Wealth Management, LLC   Barrick, Tabor   FBL Marketing Services, LLC   Allstate… [read post]
12 Apr 2019, 8:22 am by Silver Law Group
According to FINRA Disciplinary actions for February 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   Grossman, Robert   David Lerner Associates, Inc   National Planning Corporation   Jacobowitz, Oded   Securities America, Inc   JP Morgan Securities LLC   James, Garland   Garden State Securities, Inc   Global Arena… [read post]
30 Jan 2019, 1:06 pm by Silver Law Group
  Pro-Integrity Securities   Evans, Makisha   Feitelnerg, Brendan   United Planners Financial Services   LPL Financial LLC   Jimenez, Mario   Merrill Lynch, Pierce, Fenner & Smith Inc   Bank of America   Justafort, Frantz   JP Morgan Securities LLC   Chase Investment Services   Maddox, Nicholas   TCFG Wealth Management LLC   US Bancorp Investments   Gustavo Madrigal-Flores   JP Morgan… [read post]
30 Jan 2019, 1:03 pm by Silver Law Group
According to FINRA Disciplinary actions for January 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Alfaro, Jennifer   JP Morgan Securities LLC   JP Morgan Chase Bank   Austin, Aaron   LPL Financial LLC   M&T Securities, Inc   Austin,… [read post]
3 Jan 2019, 5:57 am by Silver Law Group
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Barrick, Tabor   FBL Marketing Services, LLC   Allstate Financial Services, LLC   Conklin, Jeffrey   The Huntington Investment Company   American… [read post]
3 Jan 2019, 5:54 am by Silver Law Group
Inc   Flores, Daniel   Woodbury Financial Services, Inc   Princor Financial Services Corp   Giraldo, Jose   Merrill Lynch, Pierce, Fenner & Smith Inc   David Lerner Assoc, Inc   Heitz, Donald   LPL Financial LLC   First Command Financial Planning, Inc   Jenkins, Elisabeth   LPL Financial LLC   ESL Investment Services, LLC   Krize, Joshua   Wells Fargo… [read post]
2 Oct 2018, 5:44 am by Silver Law Group
  Jason Sullivan   Woodstock Financial Group, Inc   Wells Fagro Clearing Services, LLC   Michael Venturino   Trident Partners LTD   Aegis Capital Corp Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
28 Aug 2018, 11:30 am by Silver Law Group
Morgan Securities LLC   Wells Fargo Advisors, LLC   Bradley Pace   LPL Financial LLC   A.J. [read post]
21 Aug 2018, 5:17 am by Silver Law Group
Morgan Securities LLC   Chase Investment Services Corp    Joshua David Ellis   LPL Financial LLC   BCG Securities, Inc    James Benjamin Farris   Merrill Lynch, Pierce, Fenner & Smith Inc   UBS Financial Services Inc   Samuel LaWayne Haddix   Ameriprise Financial Services, Inc   IDS Life Insurance Company   Mark Anthony Hernandez   UBS Financial Services Inc   Morgan… [read post]
26 Jul 2018, 6:50 am by Renae Lloyd
National Planning Corp., Investment Centers of America, SSII Investments, INVEST Financial Censured & Fined According to the Financial Industry Regulatory Authority (FINRA) on Tuesday, the regulator has sanctioned four National Planning firms for failure to establish, maintain and enforce a supervisory system in regards to variable annuities. [read post]
4 Jun 2018, 6:26 am by Silver Law Group
Morgan Securities LLC   Chase Investment Services Corp   Joshua David Ellis   LPL Financial LLC   BCG Securities, Inc. [read post]
15 May 2018, 1:21 pm by Silver Law Group
Camarco of LPL Financial LLC appeared first on Securities Arbitration Lawyers Blog. [read post]
4 Apr 2018, 7:38 am by Silver Law Group
 Commonwealth Financial Network   Peter Jack Margaros  State Farm VP Management Corp. [read post]