Lee Rycraft Investigation May 2022-Watertown, SD The FINRA records of Lee Rycraft, an unregistered broker, previously employed with LPL Financial, discloses a termination from employment. The Financial Industry Regulatory Authority (FINRA)…
read moreMark C. O’Meara Investigation May 2022 – Georgetown, TX According to publicly available records Michael C. O’Meara (CRD#2652113) , a stockbroker who currently works for LPL Financial and who previously worked for McNally…
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 moreDavid Volpe Investigation November 2021- Scottsdale, AZ According to publicly available records, David John Volpe a currently unregistered financial advisor whose prior registrations include First Financial Equity, LPL Financial and National…
read moreSeptember 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…
read moreAugust 2021 – Augusta, GA According to publicly available records , Raymond S. Benjamin, a stockbroker who was previously with LPL Financial and who is now registered with Kingswood Capital Partners and Firethorn Wealth…
read moreJuly 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…
read moreJune 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…
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