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lpl financial problem

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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Tony Barouti-Emerson Equity Broker-Discloses Customer Dispute Seeking $1.27M -Los Angeles, CA

Tony Barouti-Emerson Equity Broker-Discloses Customer Dispute Seeking $1.27M -Los Angeles, CA 150 150 Rex Securities Law

Tony 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…

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Scott Bremus- Former LPL Broker- Discloses Customer Suit and Termination of Employment- Dacula, GA

Scott Bremus- Former LPL Broker- Discloses Customer Suit and Termination of Employment- Dacula, GA 150 150 ER

Scott 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…

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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 150 150 Rex Securities Law

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…

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LPL Financial Fined $450K by Texas Regulators for Sale of Unregistered Securities-Austin, TX

LPL Financial Fined $450K by Texas Regulators for Sale of Unregistered Securities-Austin, TX 150 150 Rex Securities Law

April 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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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 150 150 Rex Securities Law

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…

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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 150 150 Rex Securities Law

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…

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David J. Schmerber-Former LPL Financial Broker-Settles Dispute Over Unsuitable Investments-Centerville, OH

David J. Schmerber-Former LPL Financial Broker-Settles Dispute Over Unsuitable Investments-Centerville, OH 150 150 Rex Securities Law

May 2018- Centerville, OH According to FINRA records, David Joseph Schmerber,  a  stockbroker who was  formerly employed by LPL Financial Services, disclose  the recent settlement of a customer dispute. The Financial Industry…

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George M. Warner-Former LPL Finanical Broker-Discloses Terminations/Dispute/Suspension-Rockwall, TX

George M. Warner-Former LPL Finanical Broker-Discloses Terminations/Dispute/Suspension-Rockwall, TX 150 150 Rex Securities Law

October 2017-Rockwall, TX The FINRA records of  George M. Warner ,  a  stockbroker who is currently registered with Chelsea Financial Services disclose a prior regulatory event, a prior customer dispute and 2 terminations…

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