• John H. Geary, Formerly of LPL Financial, Suspended by FINRA Following Allegations He Exercised Discretion Without Written Authorization
  • Lonna Rae Dehn Ristvedt, Formerly of LPL Financial, Suspended by FINRA Over Allegations of Engaging in Private Securities Transactions
  • Matthew Clason, Formerly of LPL Financial, Charged by SEC With Stealing Client Funds
  • Donald Woods, Formerly of LPL Financial, Suspended by FINRA After Allegations He Falsified Records
  • Patrick Coogan, Formerly of LPL Financial, Barred by FINRA Following Allegations He Made “Reckless Misrepresentations” in Agreements
  • Enrique Lopez, Formerly of LPL Financial, Facing Allegations of Unsuitable, Over-Concentrated Investments