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Tag: James Booth

FINRA SEC Sanctions, Securities Fraud Articles

LPL Financial Regulatory History Overview 

The White Law Group reviews the regulatory history of LPL Financial LLC.   LPL Financial LLC (CRD#: 6413/SEC#: 801-10970,8-17668) the...

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Blog, Securities Fraud Articles

The Worst Financial Advisors in America according to Think Advisor

Think Advisor: Worst Financial Advisors in America Updated 2023  Think Advisor, an on-line investment news magazine, posted an article...

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Blog, Current Investigations

FINRA Hits LPL Financial with $6M for Supervisory Failures

LPL Financial has agreed to a censure and $6.5 million fine for several supervisory and compliance failures The White Law Group is...

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