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…
read moreJune 2020-Overland Park, KS According to publicly available records of Kathryn Renee Charpie (CRD#840016) , a former stockbroker who last worked for LPL Financial, discloses a regulatory event , a customer…
read moreApril 2020-San Angelo, TX According to publicly available records of Cecil Allen Ross (CRD#2391047) , a former stockbroker who last worked for LPL Financial, discloses a regulatory event and a customer…
read moreJanuary 2020-Des Peres, MO According to publicly available records of Joseph Alan Likens (CRD#3084903) , a former stockbroker who previously worked for LPL FInancial discloses 2 regulatory events, 15 customer disputes,…
read moreJanuary 2020-McAllen & Brownsville, TX According to publicly available records Yvonne L. Silguero (CRD#4895654) , a stockbroker who works for LPL FInancial discloses 2 pending customer disputes. The Financial Industry Regulatory…
read moreMay 2019-Hot Springs Village, AR According to publicly available records Renee Valerie Altamirano (CRD#5644156) , a stockbroker who is currently not registered, discloses a regulatory event and a termination from employment.…
read moreMay 2019 – Baton Rouge, LA According to publicly available records, former LPL Financial financial advisor Scott P. Klor discloses a recent regulatory event and a termination from employment. The…
read moreApril 2019- Austin , Texas The Texas State Securities Board (TSSB) fined LPL Financial $450,000 and ordered a repurchase of certain securities sold to investors. In addition LPL agreed to…
read moreFebruary 2019 – Baton Rouge, LA According to publicly available records Justin Brian Mitchell (CRD# 5177794) , a stockbroker currently employed by Capital Financial Services who was previously employed by LPL Financial,…
read more