LPL FInancial investigation Archives - Rex Securities Law-BLOG

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June 28, 2023
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Timothy Connor – LPL Financial Broker- Has Pending Customer Dispute -Redwood City, CA

Timothy Connor – LPL Financial Broker- Has Pending Customer Dispute -Redwood City, CA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 28, 2023 June 28, 2023

Timothy Connor Investigation June 2023 – Redwood City, CA According to publicly available records Timothy Connor, of LPL Financial , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

ER
June 27, 2023
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Robert Li-LPL Financial Broker-Discloses Customer Dispute Over Use of Margin Borrowing- Naperville, IL

Robert Li-LPL Financial Broker-Discloses Customer Dispute Over Use of Margin Borrowing- Naperville, IL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 27, 2023 June 27, 2023

Robert Li Investigation June 2023-Naperville, IL According to publicly available records Robert Li an LPL Financial broker, disclose pending customer disputes alleging unsuitable use of margin borrowing as a trading…

ER
May 10, 2022
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 10, 2022 May 10, 2022

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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May 9, 2022
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 9, 2022 May 9, 2022

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…

Rex Securities Law
May 9, 2022
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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 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 9, 2022 May 9, 2022

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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May 4, 2022
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 4, 2022 May 4, 2022

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…

ER
April 22, 2022
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Joffre Salazar- Former LPL Financial Broker- Discloses a Regulatory Event Involving Forgery and a Termination from Employment-Staten Island, NY

Joffre Salazar- Former LPL Financial Broker- Discloses a Regulatory Event Involving Forgery and a Termination from Employment-Staten Island, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 22, 2022 April 22, 2022

Joffre Salazar Investigaton April 2022- Staten Island, NY According to publicly available records, Joffre Salazar, a currently unregistered financial advisor who previously was employed by LPL Financial discloses a regulatory…

Rex Securities Law
November 23, 2021
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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 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 23, 2021 November 23, 2021

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…

ER
November 9, 2021
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g November 9, 2021 November 9, 2021

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…