Search for: "LPL FINANCIAL CORPORATION"
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4 Aug 2011, 3:40 pm
La Salle Scurities Metropolitan Investment Securities Rushmore Securities Linsco Private Ledger (LPL) Empire Financial Group, Inc. [read post]
14 Dec 2010, 11:58 am
Eccleston Law has launched an investigation into Stephen Walker (“Walker”), a registered representative of LPL Financial Corporation (“LPL”), for his unauthorized sales of oil and gas drilling projects for Aspen Exploration, Inc. [read post]
7 Dec 2010, 2:48 pm
Milam (who is a registered representative with LPL Financial Corporation) in connection with the sale of DBSI promissory notes. [read post]
23 Sep 2010, 4:01 pm
Christopher Anthony Lee, formerly with LPL Financial, IFMG Securities, and Citigroup Global Markets, was named as a respondent in a FINRA complaint alleging that he altered customer documents causing annuity companies to mail customer checks to his home address so that he could deposit the checks in his personal bank account and use the funds for his own purposes. [read post]
31 Mar 2010, 12:43 pm
Turner & Company and LPL Financial Corporation was fined $10,000 and suspended from association with any FINRA member in any capacity for 15 business days for making unsuitable recommendations to his customers to buy closed-end funds (CEFs) purchased in an initial public offering (IPO) and selling them in the short term without fully understanding the pricing of CEFs and the risks and rewards of the investments. [read post]
31 Mar 2010, 11:43 am
Turner & Company and LPL Financial Corporation was fined $10,000 and suspended from association with any FINRA member in any capacity for 15 business days for making unsuitable recommendations to his customers to buy closed-end funds (CEFs) purchased in an initial public offering (IPO) and selling them in the short term without fully understanding the pricing of CEFs and the risks and rewards of the investments. [read post]
4 Aug 2009, 7:00 am
Page Perry's attorneys are actively involved in representing institutional and corporate investors in securities cases. [read post]
