Search for: "LINCOLN FINANCIAL SECURITIES CORP."
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17 Mar 2023, 11:34 am
The White Law Group is investigating potential securities claims involving Lincoln Financial Advisors. [read post]
11 Feb 2013, 12:21 am
Lincoln Financial Services Corp. [read post]
11 Feb 2013, 5:21 am
Lincoln Financial Services Corp. - Case No. 2010025074101). [read post]
3 Mar 2020, 2:33 pm
The post Lincoln Financial Advisors, Corp. [read post]
16 Mar 2023, 11:22 am
FINRA, the self-regulator who oversees financial advisors and broker-dealers, reportedly barred Simmons after he allegedly failed to provide information regarding his purported dismissal from his member firm, Lincoln Financial Securities Corp. [read post]
13 Jul 2017, 6:59 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Walter Starghill (Starghill), in March 2017, was discharged by brokerage firm Lincoln Investment over allegations of Starghill’s “participation in a private securities transaction in violation of Firm policy. [read post]
13 Apr 2012, 11:29 am
Lincoln Financial Advisors is a unit of Lincoln National Corp. [read post]
10 Jan 2014, 6:04 am
Thomas (Thomas) formerly with Lincoln Financial Advisors Corp. [read post]
29 Apr 2011, 12:58 pm
A Financial Industry Regulatory Authority arbitration panel says that Lincoln Financial Advisors Corporation must pay the Wright Family Trust $1.6M over securities claims related to investments that were made in a number of funds. [read post]
30 Jul 2015, 5:40 am
From November 2005, until January 2014, Lincoln was registered with CCO Investment Services Corp. [read post]
18 Nov 2019, 11:17 am
The post James Anderson, Barred Broker Formerly With Ameritas Investment Corp., Subject Of 5 Disclosures appeared first on Securities Arbitration Lawyers Blog. [read post]
7 Oct 2019, 6:04 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor James Crosson (Crosson), currently employed by Lincoln Financial Securities Corporation (Lincoln Financial) and formerly with Voya Financial Asvisors, Inc. [read post]
12 Feb 2024, 10:28 am
Inc. agreed to $12 million in penalties Key Investment Services and a related firm agreed to pay a $10 million penalty, Lincoln Financial Advisors Corp. and another Lincoln firm agreed to pay $8.5 million. [read post]
15 Apr 2013, 1:02 pm
Perlmuter was a registered broker for Securities America, Inc from 09/2005-05/2011, and with Lincoln Financial Advisors Corp. from 06/1999-09/2005. [read post]
27 Jun 2018, 9:33 am
Kyusun Kim was previously registered with The Lincoln National Life Insurance Company in Fort Wayne, Indiana from August 1997 until March 2006, Lincoln Financial Advisors Corp in San Diego, California from August 1997 until March 2006, Independent Financial Group in San Diego from February 2006 until March 2016, and Sandlapper Securities in San Diego from March 2016 until April 2017. [read post]
11 Jul 2013, 7:25 am
In fact, in May, it settled REIT cases with Ameriprise FinancialServices Inc., Commonwealth Financial Network, Lincoln Financial Advisors Corp. [read post]
2 Oct 2018, 5:48 am
David Taylor Lincoln Financial Securities Corp Christopher Threet JP Morgan Securities LLC Capital One Bank FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
4 Apr 2018, 7:38 am
Morgan Securities LLC Chase Investment Services Corp. [read post]
4 Mar 2013, 12:44 pm
The hedge funds, Foresee Strategies Insurance Fund, were issued by Sun Life Financial as variable annuity subaccounts to Sala-Multi Series Fund and than sold to investor by various broker-dealers such as SagePoint Financial Inc, Geneos Wealth Management Inc, Lincoln Financial Network, National Planning Corp, and FSC Securities Corp. [read post]
5 Jul 2018, 7:01 am
Brooks was previously registered with Lincoln Financial Securities Corp in Huntington Beach, California from August 2003 until April 2009, Signator Investors in Irvine, California from July 2015 until July 2015, SCF Securities in Huntington Beach from April 2009 until July 2015, and Signator Investors in Huntington Beach from July 2015 until June 2018. [read post]
