• Joe Franklin, Formerly of LPL Financial, Facing Pending Customer Dispute Seeking Over $150K in Damages
  • James Kenneth Couture, Formerly of LPL Financial, Barred by FINRA Following Refusal to Produce Information
  • 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