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LPL Financial Corp. complaint

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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Bob Boschke- Former CFD Investments Broker-Discloses 3 Terminations From Employment-St. Germain, WI

Bob Boschke- Former CFD Investments Broker-Discloses 3 Terminations From Employment-St. Germain, WI 150 150 ER

Bob Boschke Investigation July 2022- St. Germain, WI The FINRA records of  Robert “Bob” Boschke,   a  stockbroker previously employed by  CFD Investments, Inc.  and LPL Financial disclose 3 terminations from employment. The…

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William “Bill” Poulter- LPL Financial Broker- Discloses Pending Customer Dispute Over Alternative Investment -Baton Rouge, LA

William “Bill” Poulter- LPL Financial Broker- Discloses Pending Customer Dispute Over Alternative Investment -Baton Rouge, LA 150 150 ER

William “Bill” Poulter Investigation May 2022- Baton Rouge, LA According to publicly available records, William John Poulter, an LPL Financial broker discloses a pending customer dispute. The Financial Industry Regulatory…

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Gregg Ferguson- Former LPL Financial Broker- Discloses Pending Customer Dispute & Regulatory Sanction -Bellville, TX

Gregg Ferguson- Former LPL Financial Broker- Discloses Pending Customer Dispute & Regulatory Sanction -Bellville, TX 150 150 Rex Securities Law

Gregg Ferguson Investigation May 2022- Bellville, TX  According to publicly available records, Howell Gregory “Gregg” Ferguson, an LPL Financial broker discloses a regulatory sanction and a pending customer dispute. The…

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Todd Sivak- LPL Financial Broker- Discloses Pending Customer Dispute -Oconomowoc, WI

Todd Sivak- LPL Financial Broker- Discloses Pending Customer Dispute -Oconomowoc, WI 150 150 ER

Todd Sivak Investigation May 2022- Oconomowoc, WI According to publicly available records, Todd W. Sivak, an LPL Financial broker discloses pending customer dispute filed during his employment with MML Investors…

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Eric Hollifield Investigation-Former LPL Financial Advisor Subject of $1.24 Million Suit-Ducala, GA

Eric Hollifield Investigation-Former LPL Financial Advisor Subject of $1.24 Million Suit-Ducala, GA 150 150 ER

Eric Hollifield Investigation November 2021-Ducala, GA According to FINRA records  Eric S. Hollifield, an unregistered financial advisor previously employed by LPL Financial discloses a multi-million dollar suit by a customer…

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Rhett Bedwell- Former LPL Financial Broker-Alleged Forgery Leads to Bar From Industry-Rogers, AR

Rhett Bedwell- Former LPL Financial Broker-Alleged Forgery Leads to Bar From Industry-Rogers, AR 150 150 ER

Rhett Bedwell Investigation November 2021- Rogers, AR  The FINRA records of  Rhett Bedwell ,  a  former financial advisor who was last employed by  LPL Financial disclose a regulatory event and three…

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James Booth-Former LPL Financial Broker-Barred from Industry-Subject of Multiple Theft Claims-Norwalk, CT

James Booth-Former LPL Financial Broker-Barred from Industry-Subject of Multiple Theft Claims-Norwalk, CT 150 150 Rex Securities Law

June 2020- Norwalk, CT According to publicly available records, former LPL Financial financial advisor James T. Booth,  has been barred from the securities industry by FINRA. He  discloses 3 regulatory…

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Kathryn Charpie-Former LPL Financial Broker-Discloses Regulatory Event and Termination-Overland Park, KS

Kathryn Charpie-Former LPL Financial Broker-Discloses Regulatory Event and Termination-Overland Park, KS 150 150 Rex Securities Law

June 2020-Overland Park, KS According to publicly available records of Kathryn Renee Charpie (CRD#840016) ,  a  former stockbroker who last worked for LPL Financial,  discloses  a regulatory event , a customer…

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