• 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
• FINRA Bars Former LPL Financial Broker Philip Nalesnik for Outside Business Activity

Previous567Next