Search for: "LPL Financial Services"
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8 Feb 2022, 12:58 pm
Couture’s alleged scheme, while reportedly registered with LPL Financial, included convincing some of his clients to transfer assets to a separate company he created called Legacy Financial LLC. [read post]
8 Oct 2015, 6:51 am
Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. [read post]
2 Sep 2014, 3:16 pm
Richard, a former LPL Financial Adviser, of bilking clients of nearly $1.7 million. [read post]
8 Dec 2017, 6:52 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), in June 2013, LPL Financial LLC (LPL Financial) terminated Warner for cause alleging that he obtained client signatures on black account transfer forms. [read post]
8 Oct 2021, 10:45 am
” According to his FINRA Broker Report, Hollifield was affiliated with the following firms, among others: 10/14/2016 – 09/10/2021, LPL FINANCIAL LLC (CRD#:6413), DACULA, GA09/19/2008 – 11/11/2016, STERNE AGEE FINANCIAL SERVICES, INC. [read post]
2 Aug 2021, 9:39 am
(CRD#:111668), BIRMINGHAM, AL 05/11/1993 – 03/05/2007, AMSOUTH INVESTMENT SERVICES, INC. [read post]
4 May 2018, 1:33 pm
Previously, Gardner worked for: Raymond Jones Financial Services, Inc. [read post]
4 Sep 2013, 1:07 pm
Gana LLP is investigating claims against LPL Financial (LPL) on behalf of former customers of Alberto Neira who invested in Silver Oak Leasing (Silver Oak). [read post]
25 Apr 2019, 10:59 am
(Capital Financial), in May 2017, was discharged from his employer LPL Financial LLC (LPL) due to allegations that he violated the firm’s policies regarding outside business activities. [read post]
11 Mar 2014, 5:52 am
Chackman (Chackman) concerning allegations that he recommended unsuitable transactions in the accounts of at least eight LPL Financial, Inc. [read post]
6 Jun 2019, 12:44 pm
Philip Nalesnik, former LPL Financial advisor, Barred from the Securities Industry Are you concerned about investments you made with Philip Nalesnik and LPL Financial? [read post]
15 Mar 2021, 7:13 am
Previous employers include LPL Financial LLC (CRD#:6413), Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), and Chase Investment Services Corp. [read post]
21 Jun 2022, 12:11 pm
(CRD:# 23131), of Old Tappan, NJ, and UBS Financial Services (CRD:# 8174 ) of Paramus, NJ. [read post]
22 Apr 2010, 6:07 pm
Turner & Company, LPL Financial, UBS, Citicorp Investment Services and Morgan Stanley, has been fined $10,000 and suspended from association with any member of the Financial Industry Regulatory Authority (FINRA) for 15 business days. [read post]
13 Jul 2023, 8:18 am
(CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East Falmouth, MA, and Securities America, Inc. [read post]
31 Oct 2016, 7:46 am
The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by LPL Financial LLC (LPL) involving broker Kevin Kuhlow (Kuhlow) out of the firm’s Los Gatos, California office. [read post]
14 May 2017, 6:24 am
Sandra Canaba, a registered representative from Santa Teresa, New Mexico formerly with LPL Financial and Chase Investment Services was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. [read post]
20 Aug 2018, 12:51 pm
Our attorneys routinely represent investors in securities arbitration claims against LPL Financial. [read post]
10 Nov 2023, 7:29 am
(CRD#:14416), also of Skokie, Raymond James Financial Services, Inc. [read post]
10 May 2017, 3:27 pm
Sherman Greer, a registered representative from Locust, North Carolina, formerly with LPL Financial and Uvest Financial Services and others was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation into claims resulting from a discharge where he refused to respond to requests from his compliance department. [read post]
