Have Questions? Call Us: (561) 391-1900
Last Updated: September 2023 (Dallas, Texas) Angela M. Graham-West Investigation Summary Here’s what you need to know about Dallas, Texas / Ft. Lauderdale, FL, stockbroker Angela M. Graham-West: Name: Ms.…
read moreLast Updated: September 2023 (Beaumont, Texas) Celia Mae Scott Investigation Summary Here’s what you need to know about Beaumont, Texas stockbroker Celia Mae Scott: Name: Ms. Celia Mae Scott Current…
read moreLast Updated: August 2023 (Hockley, Texas) Jimmy Rodriguez Investigation Summary Here’s what you need to know about Hockley, Texas stockbroker Jimmy Rodriguez: Name: Mr. Jimmy Rodriguez Current Employer: LPL Financial…
read moreTimothy Connor Investigation June 2023 – Redwood City, CA According to publicly available records Timothy Connor, of LPL Financial , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…
read moreRobert Li Investigation June 2023-Naperville, IL According to publicly available records Robert Li an LPL Financial broker, disclose pending customer disputes alleging unsuitable use of margin borrowing as a trading…
read moreJohn Terzis Investigation June 2023-Skokie, IL According to publicly available records John Terzis a former broker who last worked for LPL Financial Services , discloses a final regulatory matter resulting in…
read moreLPL Financial Broker Steals $1 Million + From Dementia Patient October 2022 A 97 year old lady, currently under the care of a court-appointed guardian due to her dementia is…
read moreMarc Lowell Investigation September 2022- Ft. Lauderdale, FL The FINRA records of Marc Layne Lowell, a stockbroker previously employed by LPL Financial and who is currently employed with Alliance Global Partners…
read moreChris McFadden Investigation June 2022- Dallas, TX According to publicly available records, Chris D. McFadden, a currently unregistered broker, who last worked for Equitable Advisors and LPL Financial in Dallas, TX , discloses…
read more