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lpl financial problem

Larry S. Werbel Discloses Customer Dispute Over Investment in VGTL and QLTS
Larry S. Werbel Discloses Customer Dispute Over Investment in VGTL and QLTS 150 150 Rex Securities Law

UPDATE August 2016-Disclosure that another customer dispute has been filed. In July 2016 a customer of LPL Financial alleged damages of $19,995 for unsuitable penny stock trading and failure to…

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Brent V. Lott Investigation-Former MHL Investments Broker-Discharged for Violating Firm Policy-Orem, UT
Brent V. Lott Investigation-Former MHL Investments Broker-Discharged for Violating Firm Policy-Orem, UT 150 150 Rex Securities Law

Brent Van Lott Investigation October 2022- Orem, Utah According to FINRA records,  Brent Van Lott ,   a stock broker who is not currently and who was last  employed by MHL Investments , discloses a regulatory event,…

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Richard Poston-Former H. Beck Broker-Discloses Settlement with Customer-Plano, TX
Richard Poston-Former H. Beck Broker-Discloses Settlement with Customer-Plano, TX 150 150 Rex Securities Law

Plano, Texas UPDATE APRIL 2017-FINRA records reveal that Richard E. Poston is not currently registered as a broker. In July 2016, FINRA case # 16-0766, see below,  was settled for…

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Stockbroker Richard E. Poston of Plano, Texas Discharged By H. Beck, Inc.-Named in Arbitration
Stockbroker Richard E. Poston of Plano, Texas Discharged By H. Beck, Inc.-Named in Arbitration 150 150 Rex Securities Law

September 2019- Plano, Texas According to FINRA records, Richard E. Poston, a broker who formerly worked for H. Beck, Inc. in Plano, Texas , was discharged in December 2015  for failing…

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Charles Caleb Fackrell-Former LPL Financial Broker-Sentenced for Ponzi Scheme
Charles Caleb Fackrell-Former LPL Financial Broker-Sentenced for Ponzi Scheme 150 150 Rex Securities Law

UPDATE ON CHARLES FACKRELL-December 2016-Charles Fackrell, 37, of Booneville, N. Carolina was sentenced to 63 months in jail according to the U.S. Attorney’s Office for operating a $1.4 million Ponzi…

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Larry Werbel Indicted For Securities Fraud & Ordered to Pay $100,000 by FINRA Arbitrators- In the Same Week
Larry Werbel Indicted For Securities Fraud & Ordered to Pay $100,000 by FINRA Arbitrators- In the Same Week 150 150 Rex Securities Law

February 24, 2016- Cleveland, Ohio A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered former Summit Brokerage Services stockbroker Larry Werbel , who operated Evolution Partners Wealth Management of Chagrin Falls,…

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LPL FIned $95,000 by Texas State Securities Board for $2 Million Loan to Broker by Customer
LPL FIned $95,000 by Texas State Securities Board for $2 Million Loan to Broker by Customer 150 150 Rex Securities Law

February 18, 2016- The Texas State Securities Board reprimanded LPL Financial and ordered the company to pay a $95,000 fine for supervisory failures that led to one of their brokers…

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Lawrence Miller-Former LPL FInancial Broker-Barred from Industry
Lawrence Miller-Former LPL FInancial Broker-Barred from Industry 150 150 Rex Securities Law

February 11, 2016- Plantation, Florida Lawrence Leslie Miller entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he refused to provide…

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Former LPL Financial/H.D. Vest Broker Sanctioned by Securities Regulator-Hollywood, FLA
Former LPL Financial/H.D. Vest Broker Sanctioned by Securities Regulator-Hollywood, FLA 150 150 Rex Securities Law

November 3 , 2015 Daniel Kasbar  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide documents and information…

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