This article was originally published by Financial-Planning.com SII Investments faces charges of dishonest and unethical conduct over REITs SII Investments faces charges of dishonest and[...]
LPL Financial
This article was originally published by InvestmentNews.com The Securities and Exchange Commission has obtained an emergency court order and asset freeze preventing former LPL broker[...]
This article was originally published by Financial-Planning.com An LPL Financial advisor stole at least $2.8 million from her clients to buy several homes and enrich[...]
This article was originally published by Financial-Planning.com Four former LPL Financial advisors misled hundreds of federal employees into rolling over $40 million from their retirement[...]
The Sonn Law Group is investigating claims related to former US Bank and LPL Financial broker Ryan Lawson (Broker CRD Number: 4959209). Mr. Lawson was[...]
Sonn Law Group is investigating claims regarding James A. Rosebrough Jr. (CRD #4355308, Gilbert, Arizona). Rosebrough recently submitted an AWC in which he was assessed[...]
FINRA has ordered LPL Financial to pay $10 million in fines and $1.7 million in restitution for “widespread supervisory failures” related to certain ETF, variable[...]
FINRA recently barred former LPL Financial broker, Gary Chackman (CRD #1705039, Baltimore, MD), for several violations of securities industry rules, including falsifying documents, related to[...]
The SEC recently charged Blake Richards (“Richards”), a former registered representative of LPL Financial (“LPL”) in Buford, Georgia, with defrauding investors and misappropriating $2 million[...]
LPL Financial LLP (“LPL”) will pay $9 million following a FINRA investigation of LPL’s email system. Of that, $7.5 million will be paid as a[...]