December 2017-Brockton, MA According to FINRA records Joeann M. Walker, (CRD# 2210194) , a stockbroker who formerly worked for NEXT Financial Group and LPL FInancial was barred from the securities industry for failing…
read moreOctober 2017-San Antonio, TX We are currently investigating Thomas H. Oliphint , (CRD#1172870) , a stockbroker who is not currently registered and who last was employed by LPL Financial until he was discharged for…
read moreJune 2017- Arlington, Texas According to publicly available records Charles R. Elhoff, Jr. (CRD#76936) , a stockbroker who currently is employed by LPL Financial, discloses a currently pending customer dispute and a prior…
read moreApril 2017-San Antonio, TX According to publicly available records Thomas H. Oliphint , (CRD#1172870) , a stockbroker who is not currently registered and who last was employed by LPL Financial discloses 2 prior customer…
read moreApril 2017 – Houston, TX According to publicly available records Nghi Thanh Ho, (CRD#2327672) , a stockbroker who is currently registered with IMS Securities discloses one pending customer dispute and a separation from employment. The Financial Industry…
read moreUPDATE Jan 2017– LPL Financial ordered to pay up to $3.7 million in restitution and fines as a result of an investigation into sales of unsuitable variable annuities by former…
read moreNovember 2016-Mesa, AZ The FINRA records of Dominic T. DeBruin, a former stockbroker with LPL Financial, disclose that he has been permanently barred from acting as a broker or otherwise associating with…
read moreUPDATE August 2016-Disclosure that another customer dispute has been filed. In July 2016 a customer of LPL Financial alleged damages of $19,995 for unsuitable penny stock trading and failure to…
read moreBrent Van Lott Investigation October 2022- Orem, Utah According to FINRA records, Brent Van Lott , a stock broker who is not currently and who was last employed by MHL Investments , discloses a regulatory event,…
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