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LPL Financial

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Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK
Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK 150 150 ER

Curt Wilson Investigation July 2023- Tulsa, OK The FINRA records of  Curtis “Curt” Wilson,   a currently unregistered broker who was previously employed with  Securities America , disclose settlement of customer disputes. The…

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Timothy Connor – LPL Financial Broker- Has Pending Customer Dispute -Redwood City, CA
Timothy Connor – LPL Financial Broker- Has Pending Customer Dispute -Redwood City, CA 150 150 ER

Timothy Connor Investigation June 2023 – Redwood City, CA According to publicly available records  Timothy Connor, of  LPL Financial , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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Angelo Anello – LPL Financial Broker- Discloses Customer Disputes Over Structured Products-Needham, MA
Angelo Anello – LPL Financial Broker- Discloses Customer Disputes Over Structured Products-Needham, MA 150 150 ER

Angelo Anello Investigation June 2023 – Needham, MA According to publicly available records  Angelo Anello ,  a broker with LPL Financial discloses a prior customer dispute and 2 pending customer disputes. …

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Mark Gillelen – LPL Broker-Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute – Redwood City, CA
Mark Gillelen – LPL Broker-Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute – Redwood City, CA 150 150 ER

Mark Gillelen Investigation June 2023-Redwood City, CA According to publicly available record Mark C. Gillelen, a broker with  LPL Financial discloses four prior customer disputes and one pending customer dispute. …

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John Terzis – Former LPL Financial Broker- Barred From Securities Industry by Regulators -Skokie, IL
John Terzis – Former LPL Financial Broker- Barred From Securities Industry by Regulators -Skokie, IL 150 150 ER

John Terzis Investigation June 2023-Skokie, IL According to publicly available records John Terzis a former broker who last worked for LPL Financial Services ,  discloses a final regulatory matter resulting in…

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Kevin D. Houser- Ameriprise Financial Broker-Discloses Customer Disputes Involving Franklin Square BDC, Cole Credit Property Trust IV and CIM REIT- Allen Town, PA
Kevin D. Houser- Ameriprise Financial Broker-Discloses Customer Disputes Involving Franklin Square BDC, Cole Credit Property Trust IV and CIM REIT- Allen Town, PA 150 150 ER

Kevin D. Houser Investigation June 2023- Allen Town, PA The FINRA records of  Kevin D. Houser ,   a  stockbroker employed by  Ameriprise Financial Services, disclose  several customer disputes . The Financial…

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Steven Martin Barnett- Former LPL Broker-Discloses Regulatory Event and Customer Dispute- Jacksonville, FL
Steven Martin Barnett- Former LPL Broker-Discloses Regulatory Event and Customer Dispute- Jacksonville, FL 150 150 ER

Steven Martin Barnett Investigation June 2023- Jacksonville, FL The FINRA records of  Stephen Martin Barnett ,   a  stockbroker who was previously employed by  LPL Financial  disclose a regulatory matter, a  customer…

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John Matson- Former LPL Financial Advisor-Barred From Securities Industry by Securities Regulator -Manhattan Beach, CA
John Matson- Former LPL Financial Advisor-Barred From Securities Industry by Securities Regulator -Manhattan Beach, CA 150 150 ER

John Matson Investigation April  2023- Manhattan Beach,  CA According to publicly available records,  John Nicholas Matson a former broker who last worked for LPL Financial,  discloses a final regulatory matter resulting in…

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