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lpl financial complaint

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Lee Rycraft-Former LPL Financial Broker-Discloses a Termination of Employment- Watertown, SD
Lee Rycraft-Former LPL Financial Broker-Discloses a Termination of Employment- Watertown, SD 150 150 ER

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)…

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Mark C. O’Meara – Former McNally Financial Services Broker-Discloses Customer Disputes-Georgetown, TX
Mark C. O’Meara – Former McNally Financial Services Broker-Discloses Customer Disputes-Georgetown, TX 150 150 Rex Securities Law

Mark 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…

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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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David J. Volpe- Former First Financial Equity Broker- Permanently Barred By Securities Regulator – SCottsdale, AZ
David J. Volpe- Former First Financial Equity Broker- Permanently Barred By Securities Regulator – SCottsdale, AZ 150 150 ER

David 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…

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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 Benjamin-Former LPL Financial Broker -Settles Customer Suit-Augusta, GA
Raymond Benjamin-Former LPL Financial Broker -Settles Customer Suit-Augusta, GA 150 150 Rex Securities Law

August 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…

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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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James Booth-Former LPL Financial Broker-Barred from Industry-Subject of Multiple Theft Claims-Norwalk, CT
James Booth-Former LPL Financial Broker-Barred from Industry-Subject of Multiple Theft Claims-Norwalk, CT 150 150 Rex Securities Law

June 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…

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Kathryn Charpie-Former LPL Financial Broker-Discloses Regulatory Event and Termination-Overland Park, KS
Kathryn Charpie-Former LPL Financial Broker-Discloses Regulatory Event and Termination-Overland Park, KS 150 150 Rex Securities Law

June 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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