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LPL Financial

Jason Poff-Allstate Financial Services-Discloses Customer Complaint & Suspension-Houston, TX

Jason Poff-Allstate Financial Services-Discloses Customer Complaint & Suspension-Houston, TX 150 150 Rex Securities Law

September 2021- Houston, TX According to his FINRA record  Jason H. Poff , a financial advisor employed by Allstate Financial Services  discloses a final regulatory investigation resulting in suspension and…

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Raymond Benjamin-Former LPL Financial Broker -Settles Customer Suit-Augusta, GA

Raymond Benjamin-Former LPL Financial Broker -Settles Customer Suit-Augusta, GA 150 150 Rex Securities Law

August 2021 – Augusta, GA According to publicly available records , Raymond S. Benjamin,  a  stockbroker who was previously with LPL Financial and who is now registered with Kingswood Capital Partners and Firethorn Wealth…

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Raymond Velasco, Sr. -Former LPL Financial Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Lisle, IL

Raymond Velasco, Sr. -Former LPL Financial Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Lisle, IL 150 150 ER

August 2021- Lisle, IL According to publicly available records,  Raymond Velasco, Sr.,  a financial advisor who previously was employed by LPL Financial, discloses a regulatory event , a customer dispute and…

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Donald Stephen Woods-Former LPL Financial Broker-Discloses a Regulatory Event, 11 Settled Customer Disputes and 1 Pending Customer Disputes-Louisville, KY

Donald Stephen Woods-Former LPL Financial Broker-Discloses a Regulatory Event, 11 Settled Customer Disputes and 1 Pending Customer Disputes-Louisville, KY 150 150 Rex Securities Law

July  2021– Louisville, KY The FINRA records of Donald Stephen Woods,  a former stockbroker  who was last employed  by  Thurston Springer Financial , disclose  a final regulatory event, 11 settled customer disputes and…

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Beau Bays-Former LPL Financial Stockbroker-Discloses Customer Complaints-Plano, TX

Beau Bays-Former LPL Financial Stockbroker-Discloses Customer Complaints-Plano, TX 150 150 Rex Securities Law

April 2021- Plano, TX According to his FINRA record  Beliveau Bays, a financial advisor previously employed by LPL Financial and Woodbury Financial Services discloses 2 pending and 2 prior customer…

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Keith Thomas Lohm, Sr.-Previous Citizens Securities, Inc. Broker-Discloses Termination- Pittsburg, PA

Keith Thomas Lohm, Sr.-Previous Citizens Securities, Inc. Broker-Discloses Termination- Pittsburg, PA 150 150 Rex Securities Law

November  2020- Pittsburg, PA According to publicly available records  Keith Thomas Lohm, Sr. (CRD#1516728), a  former stockbroker who last worked for Citizens Securities, Inc.,  discloses a termination from employment. The…

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Michael Mountjoy-Former LPL Financial Broker- Discloses Regulatory Event and Termination-Louisville, KY

Michael Mountjoy-Former LPL Financial Broker- Discloses Regulatory Event and Termination-Louisville, KY 150 150 Rex Securities Law

November 2020- Louisville, KY According to publicly available records Michael Mountjoy (CRD#4421573), an unregistered broker who last worked for LPL Financial,  discloses a regulatory event and a termination from employment.…

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Patrick Coogan-LPL Financial Broker- Permanently Barred from Securities Industry- Baton Rouge, LA

Patrick Coogan-LPL Financial Broker- Permanently Barred from Securities Industry- Baton Rouge, LA 150 150 Rex Securities Law

November 2020- Baton Rouge, LA According to publicly available records, former LPL Financial   advisor Patrick Coogan,  has been barred from the securities industry by FINRA. The Financial Industry Regulatory Authority…

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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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