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Tag: LPL Financial losses
Sonya Camarco – Sentenced to 20 Years in Prison
Former LPL Financial Advisor Sonya Camarco – Colorado Springs, Colorado According to reports today, Sonya Camarco, former LPL Financial...
FINRA Fines LPL Financial $2.75 Million
FINRA Sanctions LPL for Complaint Reporting Violations and AML Program Failures According to the Financial Industry Regulatory Authority...
LPL to Pay $26 Million for Failure to Supervise Unregistered Securities
LPL Financial Settles Charges with State Regulators According to a press announcement, LPL Financial has agreed to pay up to $26 million to...
LPL Financial LLC – Censured & Fined $375,000
FINRA Sanctions LPL Financial for Supervisory Issues According to the Financial Industry Regulatory Authority on February 6, 2018, LPL...
Li-Lin Hsu Charged with Fraud
Li-Lin Hsu –aka Yilin Hsu – Ameriprise – Los Angeles, CA – Investigation According to an article yesterday in My News LA,...
Former LPL Advisor Laura Ortega Shean Barred from Securities Industry
FINRA Bars Laura Ortega Shean for using client funds to pay her taxes. According to the Financial Industry Regulatory (FINRA), the...
