Search for: "LPL Financial Services"
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18 Jun 2010, 8:32 am
Boston-based LPL provides trading and support services to 16,000 independent brokers. [read post]
10 Apr 2015, 7:01 am
He began the venture without notifying his former firm, LPL Financial. [read post]
25 Jan 2021, 1:32 pm
Tavel is currently an active investment adviser at Tavel Insurance & Financial Services, according to his IAPD report. [read post]
25 Jan 2021, 1:32 pm
Tavel is currently an active investment adviser at Tavel Insurance & Financial Services, according to his IAPD report. [read post]
12 Mar 2015, 6:45 am
LPL Financial LLC (LPL) has terminated its former broker Charles Fackrell (Fackrell), registered with The Financial Industry Regulatory Authority (FINRA), alleging that the broker engaged in unapproved private securities transactions (known in the industry as “selling away”) and also due to a felony arrest for obtaining property under false pretenses. [read post]
27 Sep 2016, 7:34 am
If you are in need of legal services, contact us to schedule a one-on-one consultation today. [read post]
15 Feb 2012, 9:33 am
In the Hardts’ case, the broker behind the TICs left LPL in 2010; he is now affiliated with United Planners’ Financial Services of America, according to a Feb. 14 article by Investment News. [read post]
12 Jul 2022, 11:22 am
Filing a Claim against your Brokerage Firm According to his broker record, Hollifield was reportedly affiliated with the following FINRA registered firms, among others, during his career in the securities industry: 10/14/2016 – 09/10/2021, LPL FINANCIAL LLC (CRD#:6413), DACULA, GA 09/19/2008 – 11/11/2016, STERNE AGEE FINANCIAL SERVICES, INC. [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]
13 Jan 2021, 12:14 pm
Black has also been affiliated with the following business entities: Renasant Financial Services and LPL Business. [read post]
11 Jan 2021, 10:28 am
Alan Rosca and his fellow attorneys are currently investigating former LPL broker Matthew Clason’s alleged financial misconduct. [read post]
11 Jan 2021, 10:28 am
Alan Rosca and his fellow attorneys are currently investigating former LPL broker Matthew Clason’s alleged financial misconduct. [read post]
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]
10 Aug 2023, 1:56 pm
(CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East Falmouth, MA, and Securities America, Inc. [read post]
5 Aug 2021, 5:29 am
Christopher Black investors should note that starting October 2017 Black operated under Renasant Financial Services as a DBA for LPL, according to his Brokercheck disclosure. [read post]
5 Aug 2021, 5:29 am
Christopher Black investors should note that starting October 2017 Black operated under Renasant Financial Services as a DBA for LPL, according to his Brokercheck disclosure. [read post]
5 Aug 2021, 5:29 am
Christopher Black investors should note that starting October 2017 Black operated under Renasant Financial Services as a DBA for LPL, according to his Brokercheck disclosure. [read post]
5 Apr 2018, 6:50 am
According to the Financial Industry Regulatory (FINRA), the regulator has barred former LPL Financial advisor, Laura Ortega Shean for using client funds to pay her own taxes. [read post]
27 May 2020, 6:31 am
(CRD#:17499) of Fort Meyers, FL, LPL Financial LLC (CRD#:6413) of Bellmore, NY, and IFMG Securities, Inc. [read post]
28 Jan 2013, 6:15 am
Last May, Finra ordered broker-dealers of four major banks, Wells Fargo & Co., Citigroup Global Markets Inc., Morgan Stanley and UBS Financial Services Inc., to pay $9.1 million in fines and restitution for selling such funds “without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
