• Enrique Lopez, Formerly of LPL Financial, Facing Allegations of Unsuitable, Over-Concentrated Investments
  • Dexter Thomas, Formerly of LPL Financial, Subject to Multiple Customer Disputes
  • Jason LaBelle, Broker for LPL Financial, Suspended and Fined Over Alleged Participation in Undisclosed Outside Business Activities
  • Cecil Ross, Formerly of LPL Financial, Suspended by FINRA for Four Months
  • Dain Stokes, Formerly of LPL Financial, is Facing Allegations of Converting Client Funds through a Fake African Charity
  • Steven Case, Advisor for LPL Financial, Subject to Customer Complaints Regarding Alternative Investments