Bob Boschke Investigation April 2024- St. Germain, WI The FINRA records of Robert “Bob” Boschke, a stockbroker previously employed by CFD Investments, Inc. and LPL Financial disclose two regulatory actions and 3…
read moreMarch 2024 Update– See this for our investigation of LPL and some of their brokers. UPDATE Jan 2017– LPL Financial ordered to pay up to $3.7 million in restitution…
read moreSanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of Sanders L. Spangler , a former stockbroker who was once employed by LPL Financial disclose a regulatory matter, 6 prior customer disputes…
read moreDavid Volpe Investigation November 2021- Scottsdale, AZ According to publicly available records, David John Volpe a currently unregistered financial advisor whose prior registrations include First Financial Equity, LPL Financial and National…
read moreSeptember 2021-McAllen, Texas The FINRA records of Enrique Lopez, a broker who is currently employed by Arkadios Capital disclose 4 customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreJuly 2021– Louisville, KY The FINRA records of Donald Stephen Woods, a former stockbroker who was last employed by Thurston Springer Financial , disclose a final regulatory event, 11 settled customer disputes and…
read moreJune 2020- Norwalk, CT According to publicly available records, former LPL Financial financial advisor James T. Booth, has been barred from the securities industry by FINRA. He discloses 3 regulatory…
read moreJune 2020-Overland Park, KS According to publicly available records of Kathryn Renee Charpie (CRD#840016) , a former stockbroker who last worked for LPL Financial, discloses a regulatory event , a customer…
read moreJanuary 2020-McAllen & Brownsville, TX According to publicly available records Yvonne L. Silguero (CRD#4895654) , a stockbroker who works for LPL FInancial discloses 2 pending customer disputes. The Financial Industry Regulatory…
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