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Tag: LPL Financial

Blog, Broker Investigations, Current Investigations

Broker Paul McGonigle, LPL Financial, Update

Financial Advisor Paul McGonigle Sentenced to Prison for Defrauding Advisory Clients   According to the US Attorney’s office in...

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Broker Investigations

Lynn Bryant Barred by Securities Regulator  

FINRA Bars LPL Broker Lynn Bryant after Allegations of Private Securities Transactions   FINRA, the regulator who oversees broker and...

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Securities Fraud Articles

LPL Financial 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, Broker Investigations

Patrick Thayer Barred by Securities Regulator 

FINRA Bars Patrick Thayer after Allegations of Misappropriating Clients Funds  Update August 10, 2023: Financial advisor Patrick Thayer...

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Blog, Securities Fraud Articles

Do you know what you’re paying your Financial Advisor? 

Do you know what you’re paying your Financial Advisor –  in Fees or Commissions?  More than one in five investors don’t know...

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