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lpl financial

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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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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Patrick Coogan-LPL Financial Broker- Permanently Barred from Securities Industry- Baton Rouge, LA
Patrick Coogan-LPL Financial Broker- Permanently Barred from Securities Industry- Baton Rouge, LA 150 150 Rex Securities Law

November 2020- Baton Rouge, LA According to publicly available records, former LPL Financial   advisor Patrick Coogan,  has been barred from the securities industry by FINRA. The Financial Industry Regulatory Authority…

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Yvonne L. Silguero-LPL Financial Broker-Subject of $500K Customer Suit-McAllen, TX
Yvonne L. Silguero-LPL Financial Broker-Subject of $500K Customer Suit-McAllen, TX 150 150 Rex Securities Law

January 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…

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Justin Mitchell- Capital Financial Services Broker-Discloses Investigation & Termination-Baton Rouge, LA
Justin Mitchell- Capital Financial Services Broker-Discloses Investigation & Termination-Baton Rouge, LA 150 150 Rex Securities Law

February 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,…

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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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