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lpl financial arbitration

Lance Walston- Dominion Investor Services Broker-Has Numerous Customer Suits- Horseshoe Bay, TX

Lance Walston- Dominion Investor Services Broker-Has Numerous Customer Suits- Horseshoe Bay, TX 150 150 Rex Securities Law

Lance Walston/ Dominion Investor Services Investigation August 2022-Horseshoe Bay, TX  According to publicly available records Lance Colby Walston, a broker who works for Dominion Investor Services,  discloses six prior customer disputes.…

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Bruce Amman- Former LPL Financial Broker-Suspended From Securities Industry by Regulators – Golden, CO

Bruce Amman- Former LPL Financial Broker-Suspended From Securities Industry by Regulators – Golden, CO 150 150 ER

Bruce Amman Investigation August 2022-Golden, CO According to publicly available records Bruce Amman, a former broker who last worked for LPL Financial,  discloses a final regulatory matter resulting in a one…

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William “Bill” Poulter- LPL Financial Broker- Discloses Pending Customer Dispute Over Alternative Investment -Baton Rouge, LA

William “Bill” Poulter- LPL Financial Broker- Discloses Pending Customer Dispute Over Alternative Investment -Baton Rouge, LA 150 150 ER

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…

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Gregg Ferguson- Former LPL Financial Broker- Discloses Pending Customer Dispute & Regulatory Sanction -Bellville, TX

Gregg Ferguson- Former LPL Financial Broker- Discloses Pending Customer Dispute & Regulatory Sanction -Bellville, TX 150 150 Rex Securities Law

Gregg 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…

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Tony Barouti-Emerson Equity Broker-Discloses Customer Dispute Seeking $1.27M -Los Angeles, CA

Tony Barouti-Emerson Equity Broker-Discloses Customer Dispute Seeking $1.27M -Los Angeles, CA 150 150 Rex Securities Law

Tony Barouti Investigation Los Angeles, CA According to FINRA records,  Tony Barouti ,  a stockbroker  who currently works  for EmersonEquity , discloses  a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Todd Sivak- LPL Financial Broker- Discloses Pending Customer Dispute -Oconomowoc, WI

Todd Sivak- LPL Financial Broker- Discloses Pending Customer Dispute -Oconomowoc, WI 150 150 ER

Todd 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…

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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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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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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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