Tag: LPL Financial lawsuit
Two Texas Retirees Reportedly Sue LPL Financial
Former clients of LPL Financial are fighting the firm and their broker, Jason N. Anderson in Beaumont, Texas. Plaintiffs Elijah Denson and...
More Trouble for LPL Financial due to Nontraded REIT sales
LPL may have to refund $8 Million for sales of nontraded REITs According to Investment News, LPL Financial could end up refunding $8...
LPL Financial Fined Millions For Widespread Supervisory Failures
The Financial Industry Regulatory Authority fined LPL Financial $10 million for what they deemed as “broad supervisory...
Investment Losses: Former LPL Rep Arthur Lin
According to SEC documents, Arthur Lin, a former LPL Financial registered representative has been accused of selling “…$5,360,000 in...
LPL Financial Fined for Failure to Supervise Jack Kleck
According to the investmentnews.com Oregon regulators in charge of securities have fined LPL Financial LLC $100,000 “for failing to...
