February 2019- Lafayette, LA According to publicly available records Mark Tauzin (CRD#1716373) , a currently unregistered stockbroker who was last registered with LPL Financial, disclose a regulatory event , a prior customer dispute…
read moreMarch 2017-Pompano Beach, FL According to publicly available records Leon Paul Rehak , (CRD# 2331058) , a stockbroker who presently works for LPL Financial, discloses a pending customer dispute. The Financial Industry Regulatory Authority…
read moreJuly 2016-Newport News, VA The FINRA records of Steve D. Heath , a stock broker who is currently employed by Capitol Securities Management , disclose 2 terminations and one final financial event. The Financial Industry Regulatory Authority (FINRA) is…
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 moreApril 1, 2016-Snohomish, WA In 2013 Brian Brunhaver, a former stock broker with LPL Financial, was sanctioned the Washington State Securities regulators for the sale of non publicly traded real…
read moreThe FBI announced the arrest and extradition of repeat securities fraud offender Edward Durante, also known as: Ted Wise Efran Eisenberg Yulia Ed Simmons Durante was arrested in Germany and…
read moreJanuary 8, 2015 The Investment News published a summary of the largest penalties handed out in 2015 by the Financial Industry Regulatory Authority (FINRA), which included: Puerto Rican Bonds-A fine…
read moreSeptember 21, 2015- Cape Coral, Florida Edward K. Roos , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April…
read moreAugust 18, 2015- Henderson, Nevada Glenn Allen Moffitt , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to…
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