May 2018-Colorado Springs, CO The FINRA records of Sonya D. Camarco , a former LPL FInancial broker was recently permanently barred from the securities industry by FINRA for failing to respond to…
read moreMay 2018 The North American Securities Administrators Association (NASAA) announced that a settlement has been reached between state securities regulators and LPL Finanical requiring LPL Finanical to repurchase from investors…
read moreFebruary 2018-Jacksonville, FL According to publicly available records Melvin E. Case , (CRD# 2393464) , a former stockbroker who last worked for LPL Financial LLC, discloses that he was recently sanctioned by securities regulators…
read moreDecember 2017-Brockton, MA According to FINRA records Joeann M. Walker, (CRD# 2210194) , a stockbroker who formerly worked for NEXT Financial Group and LPL FInancial was barred from the securities industry for failing…
read moreOctober 2017-San Antonio, TX We are currently investigating Thomas H. Oliphint , (CRD#1172870) , a stockbroker who is not currently registered and who last was employed by LPL Financial until he was discharged for…
read moreJune 2017- Arlington, Texas According to publicly available records Charles R. Elhoff, Jr. (CRD#76936) , a stockbroker who currently is employed by LPL Financial, discloses a currently pending customer dispute and a prior…
read moreMay 2017 – Beaumont, Texas Two elderly former customers of LPL Financial have filed a class action lawsuit against LPL Financial and their former broker Jason N. Anderson seeking damages current…
read moreMay 2017-Angleton, TX The FINRA records of RIcky R. Moore, a stockbroker who is employed by Sagepoint Financial disclose a final regulatory event, 3 prior customer disputes and a termination from employment. The Financial Industry Regulatory Authority…
read moreMay 2017-San Antonio, TX The FINRA records of Marie P. Goforth , a stockbroker who is currently employed by Capital Financial Service disclose 2 prior customer disputes and a termination from employment. The…
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