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Joffre Salazar Investigaton April 2022- Staten Island, NY According to publicly available records, Joffre Salazar, a currently unregistered financial advisor who previously was employed by LPL Financial discloses a regulatory…
read moreRhett Bedwell Investigation November 2021- Rogers, AR The FINRA records of Rhett Bedwell , a former financial advisor who was last employed by LPL Financial disclose a regulatory event and three…
read moreJune 2020- Waltham, MA The FINRA records of Gerald Allan Eaton , a former stock broker who was last employed by Commonwealth Financial Network , disclose a regulatory event resulting in his bar from the securities…
read moreNorman, OK MAY 2017 UPDATE-In January 2017 Beth E. Dutoit was suspended for three months by FINRA and fined $5,000 to resolve allegations that she had customers sign blank forms…
read moreJanuary 27, 2016- Maryland Michael Roger Griffith entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he submitted two fictitious applications…
read moreJuly 1, 2015 The Financial Industry Regulatory Authority (FINRA) entered a default decision against Jeffrey Alan Stewart barring him from associating with any FINRA member in any capacity for converting…
read moreMarch 30, 2015, Grapevine, Texas Sam Marshall Stull entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he forged the signatures of…
read moreLast Updated: October 2024 LPL Financial Investigation Summary Here’s what you need to know about Fort Mill, SC, headquartered brokerage firm LPL Financial: Name: LPL Financial LLC Function: Stock Brokerage…
read moreLast Updated: June 2024 (Arlington Heights, IL) Richard Allen Ceffalio Jr. Investigation Summary Here’s what you need to know about Arlington Heights, IL stockbroker Richard Allen Ceffalio Jr.: Name: Richard Allen…
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