• FINRA Hits LPL Financial with $6.5 Million Fine Over Supervisory and Compliance Failures
  • Thomas Fross, Broker with LPL Financial, Facing Customer Dispute Alleging Unsuitable Portfolio Changes
  • David Taddeo, Broker with LPL Financial, Facing Pending Customer Dispute Alleging Issues with Variable Annuity Income Withdrawals
  • Kevin Fretz, Formerly of LPL Financial, Facing Allegations of Unsuitable Investment Recommendations in Non-Traded REITs
  • Samuel Izaguirre, Broker with LPL Financial, Facing $600K Customer Dispute
  • John H. Geary, Formerly of LPL Financial, Suspended by FINRA Following Allegations He Exercised Discretion Without Written Authorization