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LPL Financial

Cheryl Stallings-Former LPL Financial Broker-Discloses Regulatory Action and Termination From Employment, Amarillo, TX
Cheryl Stallings-Former LPL Financial Broker-Discloses Regulatory Action and Termination From Employment, Amarillo, TX 150 150 Rex Securities Law

February  2019 – Amarillo, Texas According to public records of Cheryl Ann Stallings (formerly Cheryl Ann Bledsoe) (CRD#1162913)  a  former stockbroker with LPL Financial, discloses a regulatory event and a termination from…

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Daniel Dillard- Sagepoint Financial Broker-Discloses Regulatory Event & Termination From Employment-Austin, TX
Daniel Dillard- Sagepoint Financial Broker-Discloses Regulatory Event & Termination From Employment-Austin, TX 150 150 Rex Securities Law

July 2021– Follow this link for update on Daniel Dillard.   February 2019 – Austin, TX According to publicly available records Daniel Dillard  (CRD#4289333) ,  a  stockbroker who is currently registered with Sagepoint…

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Bradley Pace- Former LPL Financial Broker- Discloses Regulatory Event and Customer Dispute-Orlando, FL
Bradley Pace- Former LPL Financial Broker- Discloses Regulatory Event and Customer Dispute-Orlando, FL 150 150 Rex Securities Law

February 2019- Orlando, FL According to publicly available records Bradley T. Pace  (CRD#2097427) ,  a  stockbroker previously  registered with LPL Financial,  disclose a regulatory event and 2 prior customer disputes. The Financial Industry Regulatory…

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Brandon Long-Former BCG Securities Broker-Discloses Customer Suits & Regulatory Actions-Roswell, GA
Brandon Long-Former BCG Securities Broker-Discloses Customer Suits & Regulatory Actions-Roswell, GA 150 150 Rex Securities Law

February  2019 – Roswell, GA According to public records of Brandon P. Long (CRD#5975459)  a  stockbroker previously employed by BCG Securities,  Inc., discloses a regulatory event, a civil event, 3 customer…

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Mark Tauzin-Former LPL Financial Broker-Discloses Regulatory Event, Customer Dispute & Termination-Lafayette, LA
Mark Tauzin-Former LPL Financial Broker-Discloses Regulatory Event, Customer Dispute & Termination-Lafayette, LA 150 150 Rex Securities Law

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…

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Michael Olinde-Former LPL Financial Broker-Discloses Pending FINRA Investigation & Employment Termination- Baton Rouge, LA
Michael Olinde-Former LPL Financial Broker-Discloses Pending FINRA Investigation & Employment Termination- Baton Rouge, LA 150 150 Rex Securities Law

January 2019 – Baton Rouge, LA According to publicly available records Michael Edward Olinde (CRD# 3063204) ,  a   registered stockbroker currently employed by Capital Financial Services who was previously employed by LPL Financial,…

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Celia Mae Scott-LPL Financial Broker- Discloses Settlement of Customer Dispute-Beaumont, TX
Celia Mae Scott-LPL Financial Broker- Discloses Settlement of Customer Dispute-Beaumont, TX 150 150 Rex Securities Law

November 2018-Beaumont, TX According to publicly available records Celia Mae Scott , (CRD# 2870484) ,  a  stockbroker who was previously registered with AXA Advisors,  disclose the settlement of a customer dispute .  The…

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Bradley Scott-LPL Financial Broker- Discloses $1.4 Million Customer Settlement- Mansfield, TX
Bradley Scott-LPL Financial Broker- Discloses $1.4 Million Customer Settlement- Mansfield, TX 150 150 Rex Securities Law

November 2018-Mansfield, TX According to publicly available records Bradley Kyle Scott , (CRD# 4381014) ,  a  stockbroker who currently employed by LPL Financial who was previously registered with Southwest Securities, Inc., (now Hilltop…

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Cecil Allen Ross- LPL Financial Broker- Discloses Customer Dispute- San Angelo, TX
Cecil Allen Ross- LPL Financial Broker- Discloses Customer Dispute- San Angelo, TX 150 150 Rex Securities Law

November 2018-San Angelo, TX According to publicly available records Cecil Allen Ross , (CRD# 2391047) ,  a  stockbroker who was previously registered with Raymond James Financial Services, Inc.,  disclose a prior customer dispute .  The…

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