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LPL Finanical

Mike C. O’Meara – Former McNally Financial Services Broker-Discloses Customer Disputes-Georgetown, TX
Mike C. O’Meara – Former McNally Financial Services Broker-Discloses Customer Disputes-Georgetown, TX 150 150 Rex Securities Law

Mike C. O’Meara Investigation May 2022 – Georgetown, TX According to publicly available records Michael C. O’Meara  (CRD#2652113) ,  a  stockbroker who currently works for LPL Financial and who previously worked for  McNally…

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Raymond Benjamin-Former LPL Financial Broker -Settles Customer Suit-Augusta, GA
Raymond Benjamin-Former LPL Financial Broker -Settles Customer Suit-Augusta, GA 150 150 Rex Securities Law

August 2021 – Augusta, GA According to publicly available records , Raymond S. Benjamin,  a  stockbroker who was previously with LPL Financial and who is now registered with Kingswood Capital Partners and Firethorn Wealth…

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James Booth-Former LPL Financial Broker-Barred from Industry-Subject of Multiple Theft Claims-Norwalk, CT
James Booth-Former LPL Financial Broker-Barred from Industry-Subject of Multiple Theft Claims-Norwalk, CT 150 150 Rex Securities Law

June 2020- Norwalk, CT According to publicly available records, former LPL Financial financial advisor James T. Booth,  has been barred from the securities industry by FINRA. He  discloses 3 regulatory…

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LPL Financial to Pay $26M to Resolve Regulatory Investigation
LPL Financial to Pay $26M to Resolve Regulatory Investigation 150 150 Rex Securities Law

May 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…

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