• LPL advisor stole $2.8 million from clients for houses, credit cards: SEC
  • LPL brokers, OSJ manager defrauded 200 federal employees: SEC
  • Investigation: Broker Ryan Sanford Lawson suspended by FINRA
  • Investigation: Broker James Rosebrough, Formerly of Securities America, LPL Financial
  • FINRA fines LPL Financial $11.7 million
  • FINRA Bars Former LPL Broker Gary Chackman for Misconduct Related to Nontraded REITs