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 moreWilliam “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 moreMike 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 moreTony 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 moreJoffre 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 moreScott 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 moreSanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of Sanders L. Spangler , a former stockbroker who was once employed by LPL Financial disclose a regulatory matter, 6 prior customer disputes…
read moreEric 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…
read moreRhett 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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