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lpl financial problem

Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI
Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI 150 150 Rex Securities Law

October 2018 – Eau Claire, WI According to publicly available records Gary Lee Miller   (CRD#2669776) ,  a  former stockbroker who was last employed by LPL Financial ,  disclose a settled customer dispute. The Financial Industry…

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Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN
Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN 150 150 Rex Securities Law

October 2020 – Franklin, TN The FINRA records of Scott Douglas Williams, who last worked for LPL Financial is not currently registered as a broker,  disclose  a pending customer dispute, 2 prior…

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David J. Schmerber-Former LPL Financial Broker-Settles Dispute Over Unsuitable Investments-Centerville, OH
David J. Schmerber-Former LPL Financial Broker-Settles Dispute Over Unsuitable Investments-Centerville, OH 150 150 Rex Securities Law

May 2018- Centerville, OH According to FINRA records, David Joseph Schmerber,  a  stockbroker who was  formerly employed by LPL Financial Services, disclose  the recent settlement of a customer dispute. The Financial Industry…

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Jason Anderson, Former LPL Financial Broker- Named in Unauthorized Trading/Churning Suit-Beaumont, TX
Jason Anderson, Former LPL Financial Broker- Named in Unauthorized Trading/Churning Suit-Beaumont, TX 150 150 Rex Securities Law

January 2018 – Beaumont, Texas TEXAS STATE SECURITIES BOARD SUSPENSION-On January 30, 2018 Texas Securities State Securities Board (TSSB) Commissioner Travis J. Iles entered a Disciplinary Order  suspending Jason N. Anderson, a…

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Marie P. Goforth-Former LPL Financial Broker-Discloses Sanction by Texas Regulator-San Antonio, TX
Marie P. Goforth-Former LPL Financial Broker-Discloses Sanction by Texas Regulator-San Antonio, TX 150 150 Rex Securities Law

May 2017-San Antonio, TX The FINRA records of  Marie P. Goforth  ,  a  stockbroker who is currently  employed  by Capital Financial Service   disclose  2 prior customer disputes and a termination from employment. The…

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Thomas H. Oliphint-Former LPL Financial Broker-Discloses Customer Disputes and Termination From Employment-San Antonio, TX
Thomas H. Oliphint-Former LPL Financial Broker-Discloses Customer Disputes and Termination From Employment-San Antonio, TX 150 150 Rex Securities Law

April 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…

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Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment
Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment 150 150 Rex Securities Law

UPDATE April 2018– IN 3/2017 FINRA permanently barred Donald Lee Watson, Jr. from the securities industry for refusing to cooperate with a FINRA investigation. November 2016-Sarasota, FL The FINRA records of  Donald…

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Bryan O. Eberle-Former LPL Financial Broker-Discloses 2 Terminations From Employment
Bryan O. Eberle-Former LPL Financial Broker-Discloses 2 Terminations From Employment 150 150 Rex Securities Law

August 2016- Marlton, NJ The FINRA records of  Bryan O. Eberle,  a  stock broker who is currently employed by Client One Securities  disclose  two terminations from employment. The Financial Industry Regulatory Authority (FINRA) is the agency…

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