Mark Gillelen Investigation June 2023-Redwood City, CA According to publicly available record Mark C. Gillelen, a broker with LPL Financial discloses four prior customer disputes and one pending customer dispute. …
read moreJohn Terzis – Former LPL Financial Broker- Barred From Securities Industry by Regulators -Skokie, IL
John Terzis Investigation June 2023-Skokie, IL According to publicly available records John Terzis a former broker who last worked for LPL Financial Services , discloses a final regulatory matter resulting in…
read moreKevin D. Houser Investigation June 2023- Allen Town, PA The FINRA records of Kevin D. Houser , a stockbroker employed by Ameriprise Financial Services, disclose several customer disputes . The Financial…
read moreLPL Financial Broker Steals $1 Million + From Dementia Patient October 2022 A 97 year old lady, currently under the care of a court-appointed guardian due to her dementia is…
read moreLee 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 moreTony Barouti Investigation Los Angeles, CA According to FINRA records, Tony Barouti , a stockbroker who currently works for EmersonEquity , discloses a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreScott Bremus Investigation April 2022- Dacula, GA According to publicly available records Scott Bremus, a broker previously registered with LPL Financial discloses a final customer dispute and a termination from…
read moreMay 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…
read moreApril 2019- Austin , Texas The Texas State Securities Board (TSSB) fined LPL Financial $450,000 and ordered a repurchase of certain securities sold to investors. In addition LPL agreed to…
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