fbpx

LPL Financial

George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX

George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX 150 150 Rex Securities Law

George M. Warner Investigation June 2022-Horseshoe Bay & Rockwall, TX The FINRA records of  George M. Warner ,  a  former stockbroker who last was registered with Chelsea Financial Services disclose 2 prior…

read more

Bill Woods -Former Raymond James Broker-Discloses over $3M in Pending Customer Dispute-Chattanooga, TN

Bill Woods -Former Raymond James Broker-Discloses over $3M in Pending Customer Dispute-Chattanooga, TN 150 150 ER

      Bill Woods aka                  William Forrest Winchester Investigation June 2022- Chattanooga, TN According to publicly available records Bill Woods (aka…

read more

Chris McFadden- Former LPL Financial Broker- Discloses Regulatory Suspension, Dallas, TX

Chris McFadden- Former LPL Financial Broker- Discloses Regulatory Suspension, Dallas, TX 150 150 ER

Chris McFadden Investigation June 2022- Dallas, TX According to publicly available records,  Chris D. McFadden, a currently unregistered broker, who last worked for Equitable Advisors and LPL Financial in Dallas, TX ,  discloses…

read more

Lee Rycraft-Former LPL Financial Broker-Discloses a Termination of Employment- Watertown, SD

Lee Rycraft-Former LPL Financial Broker-Discloses a Termination of Employment- Watertown, SD 150 150 ER

Lee Rycraft Investigation May 2022-Watertown, SD The FINRA records of Lee Rycraft,  an unregistered broker, previously employed with LPL Financial, discloses a termination from employment. The Financial Industry Regulatory Authority (FINRA)…

read more

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…

read more

Mark C. O’Meara – Former McNally Financial Services Broker-Discloses Customer Disputes-Georgetown, TX

Mark C. O’Meara – Former McNally Financial Services Broker-Discloses Customer Disputes-Georgetown, TX 150 150 Rex Securities Law

Mark C. O’Meara Investigation May 2022 – Georgetown, TX According to publicly available records Michael C. O’Meara  (CRD#2652113) ,  a  stockbroker who currently works for LPL Financial and who previously worked for  McNally…

read more

Tony Barouti-Emerson Equity Broker-Discloses Customer Dispute Seeking $1.27M -Los Angeles, CA

Tony Barouti-Emerson Equity Broker-Discloses Customer Dispute Seeking $1.27M -Los Angeles, CA 150 150 Rex Securities Law

Tony Barouti Investigation Los Angeles, CA According to FINRA records,  Tony Barouti ,  a stockbroker  who currently works  for EmersonEquity , discloses  a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

read more

Joffre Salazar- Former LPL Financial Broker- Discloses a Regulatory Event Involving Forgery and a Termination from Employment-Staten Island, NY

Joffre Salazar- Former LPL Financial Broker- Discloses a Regulatory Event Involving Forgery and a Termination from Employment-Staten Island, NY 150 150 ER

Joffre Salazar Investigaton April 2022- Staten Island, NY According to publicly available records,  Joffre Salazar,  a currently unregistered  financial advisor who previously was employed by LPL  Financial discloses a regulatory…

read more

Scott Bremus- Former LPL Broker- Discloses Customer Suit and Termination of Employment- Dacula, GA

Scott Bremus- Former LPL Broker- Discloses Customer Suit and Termination of Employment- Dacula, GA 150 150 ER

Scott Bremus Investigation April 2022- Dacula, GA According to publicly available records Scott Bremus,  a broker previously registered with LPL Financial discloses a final customer dispute and a termination from…

read more