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November 11, 2024
FINRA Disciplines Marc Barton for Reusing Customer Signatures on New Documents
August 27, 2024
SEC Fines Ameriprise, LPL Financial, Raymond James & Others $394 Million for Improper Texting, Off-Channel Communications
February 08, 2024
Investor Loses $300,000 in Unapproved Securities-Based Loan Strategy
January 09, 2024
LPL Financial to Pay $6 Million for Supervisory, Sales Practice, and Review Failures
August 06, 2023
LPL Financial's Gregory Collins Cited for Failing to Disclose Side Gigs, Including Hedge Fund Role
June 20, 2023
LPL Financial Ex-Broker Patrick Thayer Charged with Misappropriating $1.3 Million from Client
June 09, 2023
LPL & CUSO Financial Broker Kale KH Young Sanctioned for Falsifying Customer Signatures
January 30, 2023
SoCal Broker Jay Eng Cited for Impersonating Customer in Call with Annuity Company
