Search for: "LPL FINANCIAL CORPORATION"
Results 101 - 120
of 127
Sort by Relevance
|
Sort by Date
6 Sep 2016, 3:04 pm
Resch has been registered with LPL Financial since November, 2010, and before then was registered to sell securities with Multi-Financial Securities Corporation in Martinsville, New Jersey from January 2006 to November 2010, according to her BrokerCheck records. [read post]
6 Sep 2016, 3:04 pm
Resch has been registered with LPL Financial since November, 2010, and before then was registered to sell securities with Multi-Financial Securities Corporation in Martinsville, New Jersey from January 2006 to November 2010, according to her BrokerCheck records. [read post]
23 May 2016, 7:27 am
From September 2004 until November 2009, Burtraw was associated with LPL Financial Corporation. [read post]
17 May 2016, 7:03 am
From September 2009 until December 2009, Goldman was associated with LPL Financial Corporation. [read post]
16 Oct 2015, 7:03 am
And if we’re lagging in large corporations, what other forces are supporting our current high employment and economic growth? [read post]
10 Aug 2015, 7:03 am
Broker Thomas Sharp Sanctioned by FINRA Over Misleading Statements Concerning Non-Traded REITs Pennsylvania Regulator Investigates Securities America and Landenburg Thalmann Non-Traded REIT Sales National Planning Corporation Broker Matthew Westfall Sanctioned Over Outside Business Activities and Non-Traded REIT Sales Hantz Financial Services Sanctioned Over Non-Traded REIT Due Diligence Failures Former LPL Financial Broker Brian Brunhaver Accused of Fraud in the… [read post]
26 May 2015, 11:32 am
In 2007, LPL Financial Holdings, Inc., LPL’s parent company, expanded LPL’s broker-dealer business by acquiring other financial services firms and recruiting registered representatives from other broker-dealers. [read post]
28 Apr 2015, 6:48 pm
Caryn Mazzulo, Respondent’s legal assistant since 2008, testified that Richard Ozols, the LPL financial advisor in the Molitor case, left a message on Respondent’s voice mail on March 15, 2014. [read post]
17 Dec 2014, 8:10 am
LPL Financial LLC Maitland Securities, Inc. [read post]
6 Nov 2014, 3:03 pm
LPL Financial said that they will no longer sell products by American Realty Capital Properties and RCS Capital Corporation. [read post]
21 Oct 2014, 6:03 am
On March 24, 2014, LPL Financial was fined $950,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise its brokers’ marketing of nontraditional investments. [read post]
22 Jul 2014, 10:20 am
According to his FINRA Broker Report, Bracey was registered with Multi-Financial Services Corporation from January 2004 through December 2010 and LPL Financial from December 2010 through April 2013. [read post]
4 Jun 2014, 5:41 am
Thereafter, in February 2009, after a thirteen-year stint at FSC Securities Corporation, Werbel began working for LPL Financial, until his termination in February 2011. [read post]
10 Feb 2014, 6:01 am
Dahn (Dahn) has been barred by the Financial Industry Regulatory Authority (FINRA) concerning allegations that he privately borrowed money from at least two customers, an act constituting securities fraud, while being a registered representative of Mutual Service Corporation (MSC) and LPL Financial LLC (LPL). [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]
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]
11 Apr 2013, 11:08 am
Prior to working for Cambridge Investment Research, Inc., Sandru was registered with LPL Financial Corporation. [read post]
13 Dec 2011, 1:39 pm
Malarz and Lin (who was at the time a registered representative at LPL Financial Corporation), allegedly solicited investors to invest in Malarz Equity Investments, LLC and Malarz Equity Investment, Inc., which were purportedly in the business of converting apartments to condominiums, and then selling condominium units to purchasers. [read post]
29 Nov 2011, 6:28 pm
The Oregon Division of Financial and Corporate Securities, which fined the financial firm, reports that LPL Financial has put in place better oversight procedures since the violation was discovered. [read post]
27 Nov 2011, 12:18 pm
LPL Financial LLC has been fined $100,000 for failing to supervise Jack Kleck, a broker who sold unsuitably risky investments to clients in their 80s, the Oregon Department of Consumer and Business Services announced on Nov. 22. [read post]
