Search for: "LPL FINANCIAL CORPORATION"
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3 Jan 2020, 2:15 pm
Dexter Thomas (CRD# 1074222) was a broker who formerly worked for LPL Financial (CRD# 6413) in Dallas, Texas, United Planners Financial Services of America (CRD# 20804), National Planning Corporation (CRD# 29604), Invest Financial Corporation (CRD# 12984), AIG Financial Advisors (CRD# 133763), Sunamerica Securities (CRD# 20068), and others. [read post]
8 Dec 2019, 2:18 pm
Advisor Steven Case (Case), currently employed by LPL Financial LLC (LPL Financial) has been subject to at least two customer complaints during the course of his career. [read post]
6 Oct 2019, 10:19 am
Volpe, formerly registered with First Financial Equity Corporation (First Financial) and LPL Financial LLC (LPL Financial) was subject to an investigation by The Financial Industry Regulatory Authority (FINRA) over these allegations. [read post]
3 Oct 2019, 7:02 am
Although Booth operated his own company called Booth Financial Associates, he was at all time relevant to this scheme a licensed and registered representative with FINRA member brokerage firms Invest Financial Corporation and LPL Financial. [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 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 Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors Capital Diehlman,… [read post]
30 Jul 2019, 11:35 am
Booth Discharged by LPL Financial LLC Allegedly Following Allegations of Misappropriation of Multiple Clients’ Funds for Personal & Business Use James T. [read post]
30 Jul 2019, 11:35 am
Booth Discharged by LPL Financial LLC Allegedly Following Allegations of Misappropriation of Multiple Clients’ Funds for Personal & Business Use James T. [read post]
17 Jul 2019, 1:56 pm
The claim further alleges that LPL Financial LLC unsuitably invested the client in the following high risk private placements investments: FS Investments Corporation III (FSIC III) FS Investments Corporation IV (FSIC IV Corporate Capital Trust The FINRA claim seeks damages between $100,000 and $500,000. [read post]
8 Jul 2019, 1:42 pm
Hopkins has also been registered at the following firms: LPL Financial Corporation, Troy, Michigan— June 6, 1997 to July 9, 2009American Express Financial Advisors, Inc, Minneapolis, Minnesota— September 12, 1995 to June 11, 1997IDS Life Insurance Company, Minneapolis, MN— September 12, 1995 to June 11, 1997Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints… [read post]
30 Jun 2019, 4:17 am
Booth, formerly registered with LPL Financial, LLC (LPL Financial) out of Norwalk, Connecticut has left LPL Financial and is under investigation by securities regulators. [read post]
3 Jun 2019, 11:11 am
Previous to working with Cambridge, Contreras was also a former Commonwealth Financial broker and prior to that an LPL Financial broker. [read post]
9 May 2019, 9:33 am
LPL Financial Lawsuit The White Law Group announces the filing of a FINRA arbitration claim against LPL Financial involving high-risk alternative investments. [read post]
3 May 2019, 5:56 am
According to FINRA, Booth’s spree occurred while he was registered with Invest Financial Corporation and then LPL Financial. [read post]
25 Apr 2019, 11:59 am
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, 5:36 am
According to FINRA Disciplinary actions for March 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 Ferree, Stuart LPL Financial LLC Invest Financial Corporation Anderson, Andy LPL Financial LLC … [read post]
12 Apr 2019, 8:25 am
Insurance Agency Peter Gomez NYLife Securities LLC New York Life Insurance Co Harris, Dionna Vanguard Marketing Corporation Henry, Omar Cetera Advisors LLC JP Morgan Securities LLC King, Erin Wells Fargo Clearing Services, LLC Wells Fargo Bank Lin, Linda Lossing, Christopher LPL Financial LLC Edward Jones McNeill, Randolph Buckman, Buckman & Reid, Inc… [read post]
12 Apr 2019, 8:22 am
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… [read post]
19 Feb 2019, 1:09 pm
He was previously with LPL Financial (LPLA) for almost 30 years. [read post]
22 Jan 2019, 8:43 am
His previous employers include LPL Financial LLC (CRD #6413), National Planning Corporation (CRD #29604) and Invest Financial Corporation (CRD #12984), all of Dallas. [read post]
8 Jan 2019, 7:32 am
Volpe was registered with LPL Financial in Scottsdale, Arizona from November 29, 2017 through December 27, 2018, and was also registered with National Planning Corporation in Scottsdale, Arizona from January 2, 2009 until November 29, 2017, FINRA states. [read post]
