Tag: LPL Financial
Barred LPL Broker Andrew Komarow Charged with Fraud
SEC Charges Andrew Komarow with “Free-Riding” Fraud Scheme The White Law Group continues to investigate potential securities...
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...
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...
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...
Patrick Thayer Barred by Securities Regulator
FINRA Bars Patrick Thayer after Allegations of Misappropriating Clients Funds Update August 10, 2023: Financial advisor Patrick Thayer...
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...
