Search for: "LPL Financial Services"
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4 Jun 2023, 4:11 am
The post LPL Financial Welcomes Return of Individual Financial Services appeared first on Stoltmann Law. [read post]
8 Apr 2020, 8:10 am
Lamkin, who is now a Calton & Associates broker, is accused of borrowing $1.3M in total from an LPL Financial Services customer between 2011 and 2017 without getting written approval from or notifying the broker-dealer. [read post]
21 Apr 2019, 7:16 am
The post LPL Financial To Pay $450K Fine to Texas Investors appeared first on Securities Fraud Attorney. [read post]
7 Jan 2021, 12:48 pm
Monshi’s time with LPL Financial from 2006 to 2015 and with Ameriprise Financial Services from 2015 to 2016. [read post]
11 Dec 2018, 9:53 am
See Fidelity Brokerage Services, LLC, Rel. [read post]
7 Aug 2022, 7:00 am
Claimants also name former LPL Financial brokers Edward Miller and Antonio Reyna Two investors were awarded $2.57m in their Financial Industry Regulatory Authority (FINRA) arbitration case against LPL Financial and Financial Resources Group. [read post]
25 Jul 2022, 12:46 pm
According to the Financial Industry Regulatory Authority (FINRA), a FINRA arbitration panel has ruled in favor of two Texas investors in a claim alleging two firms, LPL Financial and Financial Resources Group Investment Services, concealed the actions of a registered representative who engaged in unauthorized trading in clients’ accounts. [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]
18 Dec 2020, 5:07 pm
He has also been affiliated with Charter Advisory Corporation and Tavel Insurance & Financial Services, LLC. [read post]
17 Feb 2021, 12:58 pm
If you experienced other investment losses as a customer of Tavel at LPL Financial Services, LLC, you may have a claim in FIRNA Arbitration to recover your losses. [read post]
15 Jul 2015, 11:07 am
On July 6, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC (collectively, “Wells Fargo”), Raymond James & Associates, Inc., Raymond James Financial Services, Inc. [read post]
10 Jun 2023, 6:23 am
The Financial Industry Regulatory Authority Inc. on Thursday barred a financial advisor who borrowed more than $850,000 while registered with LPL Financial and later Raymond James Financial Services Inc. [read post]
31 May 2017, 6:07 am
The investment lawyers of Gana LLP are investigating the LPL Financial LLC’s (LPL) termination of former broker Christopher Russell (Russell) working out of the Huntsville, Alabama office. [read post]
24 Feb 2023, 4:59 pm
Dougherty (“Dougherty”) of LPL Financial LLC in Blue Bell, PA. [read post]
3 Jan 2020, 2:15 pm
Dexter Thomas (CRD# 1074222) was a broker who formerly worked for LPL Financial (CRD# 6413) in Dallas, Texas, United Planners Financial Services of America (CRD# 20804), National Planning Corporation (CRD# 29604), Invest Financial Corporation (CRD# 12984), AIG Financial Advisors (CRD# 133763), Sunamerica Securities (CRD# 20068), and others. [read post]
28 Nov 2011, 11:46 am
LPL Financial LLC was fined $100,000 by the Oregon Department of Consumer and Business Services for unsuitable sales of high-risk oil and gas partnerships to clients, including many who are elderly, in poor health, and incapable of making financial decisions (“LPL fined over sales of risky partnerships to seniors,” InvestmentNews). [read post]
10 Nov 2023, 7:01 am
Previous employers include Ameriprise Financial Services, Inc. [read post]
25 Apr 2014, 6:30 am
The fine is one of many that have recently been imposed on LPL and other “independent broker-dealers,” firms that provide products, marketing, and regulatory services to independent brokers who are not their full-time employees. [read post]
20 May 2019, 1:56 pm
This is a professional death sentence for anyone who wants to provide financial services or financial advice to clients. [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]
