lpl financial complaint Archives - Page 2 of 7

Rex Securities Law
June 25, 2020
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 25, 2020 June 25, 2020

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…

Rex Securities Law
June 23, 2020
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 23, 2020 June 23, 2020

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…

Rex Securities Law
October 11, 2019
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 11, 2019 February 28, 2020

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…

Rex Securities Law
May 12, 2019
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Scott Klor-Former LPL Financial Advisor-Discloses Regulatory Suspension and Discharge from Employment-Baton Rouge, LA

Scott Klor-Former LPL Financial Advisor-Discloses Regulatory Suspension and Discharge from Employment-Baton Rouge, LA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 12, 2019 May 12, 2019

May 2019 – Baton Rouge, LA According to publicly available records, former LPL Financial financial advisor Scott P. Klor discloses a recent regulatory event and a termination from employment. The…

Rex Securities Law
February 18, 2019
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Mark Tauzin-Former LPL Financial Broker-Discloses Regulatory Event, Customer Dispute & Termination-Lafayette, LA

Mark Tauzin-Former LPL Financial Broker-Discloses Regulatory Event, Customer Dispute & Termination-Lafayette, LA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 18, 2019 February 18, 2019

February 2019- Lafayette, LA According to publicly available records Mark Tauzin (CRD#1716373) , a currently unregistered stockbroker who was last registered with LPL Financial, disclose a regulatory event , a prior customer dispute…

Rex Securities Law
January 31, 2019
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Michael Olinde-Former LPL Financial Broker-Discloses Pending FINRA Investigation & Employment Termination- Baton Rouge, LA

Michael Olinde-Former LPL Financial Broker-Discloses Pending FINRA Investigation & Employment Termination- Baton Rouge, LA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 31, 2019 January 31, 2019

January 2019 – Baton Rouge, LA According to publicly available records Michael Edward Olinde (CRD# 3063204) , a registered stockbroker currently employed by Capital Financial Services who was previously employed by LPL Financial,…

Rex Securities Law
November 30, 2018
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Bradley Scott-LPL Financial Broker- Discloses $1.4 Million Customer Settlement- Mansfield, TX

Bradley Scott-LPL Financial Broker- Discloses $1.4 Million Customer Settlement- Mansfield, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 30, 2018 November 30, 2018

November 2018-Mansfield, TX According to publicly available records Bradley Kyle Scott , (CRD# 4381014) , a stockbroker who currently employed by LPL Financial who was previously registered with Southwest Securities, Inc., (now Hilltop…

Rex Securities Law
October 30, 2018
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Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI

Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 30, 2018 October 30, 2018

October 2018 – Eau Claire, WI According to publicly available records Gary Lee Miller (CRD#2669776) , a former stockbroker who was last employed by LPL Financial , disclose a settled customer dispute. The Financial Industry…

Rex Securities Law
August 30, 2018
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Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN

Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 30, 2018 October 29, 2020

October 2020 – Franklin, TN The FINRA records of Scott Douglas Williams, who last worked for LPL Financial is not currently registered as a broker, disclose a pending customer dispute, 2 prior…