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 moreGregg Ferguson Investigation May 2022- Bellville, TX According to publicly available records, Howell Gregory “Gregg” Ferguson, an LPL Financial broker discloses a regulatory sanction and a pending customer dispute. The…
read moreTodd Sivak Investigation May 2022- Oconomowoc, WI According to publicly available records, Todd W. Sivak, an LPL Financial broker discloses pending customer dispute filed during his employment with MML Investors…
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…
read moreSeptember 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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