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lpl financial

Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX

Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX 150 150 Rex Securities Law

Sanders 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…

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Eric Hollifield Investigation-Former LPL Financial Advisor Subject of $1.24 Million Suit-Ducala, GA

Eric Hollifield Investigation-Former LPL Financial Advisor Subject of $1.24 Million Suit-Ducala, GA 150 150 ER

Eric 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…

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Rhett Bedwell- Former LPL Financial Broker-Alleged Forgery Leads to Bar From Industry-Rogers, AR

Rhett Bedwell- Former LPL Financial Broker-Alleged Forgery Leads to Bar From Industry-Rogers, AR 150 150 ER

Rhett 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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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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Enrique Lopez-Former LPL Financial Advisor-Subject of Customer Suits-McAllen, Texas

Enrique Lopez-Former LPL Financial Advisor-Subject of Customer Suits-McAllen, Texas 150 150 Rex Securities Law

September 2021-McAllen, Texas The FINRA records of  Enrique Lopez,  a  broker who is currently employed by  Arkadios Capital  disclose 4 customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…

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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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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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