Search for: "LPL Financial Services"
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25 Nov 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Blake Richards, a former broker for LPL Financial LLC, will pay more than $1.9 million in restitution to his clients to resolve an SEC fraud suit against him. [read post]
3 Jun 2020, 9:42 am
” Padilla was reportedly registered with LPL Financial in Alhambra, CA from 2009 until 2015 when he was reportedly dismissed. [read post]
24 May 2013, 2:13 pm
Edwards & Son, Inc. from 08/2004 – 02/2007, Ameriprise Advisor Services, Inc. from 02/2007 – 05/2009, and LPL Financial, LLC from 05/2009 – 05/2013. [read post]
13 Oct 2020, 7:59 am
He also previously was a broker for Summit Brokerage Services, LPL Financial (LPLA), Lincoln Financial Advisors, and The Lincoln National Life Insurance Company. [read post]
13 May 2017, 8:36 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Michael Babyak (Babyak), formerly associated with brokerage firms LPL Financial LLC (LPL) and Leigh Baldwin & Co., LLC (Leigh Baldwin). [read post]
11 Jul 2013, 7:25 am
, LPL Financial LLC, Commonwealth Financial Network, MML Investor Services LLC, Investors Capital Corp., Signator Investors Inc., Meyers Associates LP, and WFG Investments Inc. [read post]
4 Sep 2018, 2:22 pm
From April 2003 to June 2013, Warner was registered with LPL Financial LLC. [read post]
10 Oct 2019, 7:28 am
Advisor Adam Lunceford (Lunceford), currently employed by LPL Financial LLC. [read post]
Colorado Investigates California-Based Peter Klaas For High Risk Trading, Seeking License Revocation
10 Aug 2018, 11:29 am
Klaas was previously employed with Allegis Investment Services (05/2014-03/2017,) Signator Financial Services (04/2011-06/2014), and LPL Financial (09-2007-05/2011.) [read post]
25 Oct 2016, 6:29 am
LPL Financial, the nation’s largest independentbroker-dealer, is still planning to offer a commission-based option to investors. [read post]
21 Apr 2021, 6:33 am
Many people have long-standing relationships with their financial services representatives, and consider them friends. [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 Invest… [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]
4 Jan 2022, 10:06 am
Hollifield was previously registered with Sterne Agee Financial Services, Inc. [read post]
3 Dec 2013, 6:50 am
Brown was formerly registered with FINRA firm LPL Financial Corporation (LPL Financial) from 1989 through May 2009. [read post]
2 Oct 2018, 5:44 am
According to FINRA Disciplinary actions for September 2018, 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 Heath Bowen Allegis Investment Services, LLC Signator Financial Services, Inc William Eaton LPL Financial, LLC Wells Fargo Advisors, LLC Yosef Fox Ditto Trade, Inc… [read post]
27 Aug 2020, 1:47 pm
Investment advice offered through Gaines Financial Group, a registered investment advisor and a separate entity from LPL Financial. [read post]
20 Dec 2018, 10:19 am
(CRD #17587) and LPL Financial LLC (CRD #6413), also of Pacific Grove, CA. [read post]
14 Jun 2021, 8:09 am
Suyama was also associated with Ameriprise Financial Services from 2006 to 2017. [read post]
13 Oct 2016, 6:27 am
LPL Financial achieved the highest net rep growth at 505 and Raymond James came in second with a net growth of 322 reps. [read post]
