• Christopher Neil Watkins, Formerly of LPL Financial, Terminated for Allegedly Sharing Advisory Fees with Unregistered Party
  • Kerry Hoffman, Formerly of LPL Financial, Sued by SEC for Selling $3.3 Million in Unregistered Securities
  • Eric Savell, Former LPL Financial Broker, Suspended Five Months for Unauthorized Private Securities Transaction
  • James Booth, Former LPL Advisor, Barred From FINRA For Misappropriation
  • James Booth, former LPL Financial Broker, Charged by SEC with Operating Ponzi Scheme
  • Jason Nelson of LPL Financial Barred from FINRA