lpl financial complaint

  • Robert Rex, Esq.

Yvonne L. Silguero-LPL Financial Broker-Subject of $500K Customer Suit-McAllen, TX
Yvonne L. Silguero-LPL Financial Broker-Subject of $500K Customer Suit-McAllen, TX 150 150 Robert Rex, Esq.

January 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…

read more
  • Robert Rex, Esq.

Scott Klor-Former LPL Financial Advisor-Discloses Regulatory Suspension and Discharge from Employment-Baton Rouge, LA
Scott Klor-Former LPL Financial Advisor-Discloses Regulatory Suspension and Discharge from Employment-Baton Rouge, LA 150 150 Robert Rex, Esq.

May 2019 – Baton Rouge, LA According to publicly available records, former LPL Financial financial advisor Scott P. Klor discloses a recent regulatory event and a termination from employment. The…

read more
  • Robert Rex, Esq.

Mark Tauzin-Former LPL Financial Broker-Discloses Regulatory Event, Customer Dispute & Termination-Lafayette, LA
Mark Tauzin-Former LPL Financial Broker-Discloses Regulatory Event, Customer Dispute & Termination-Lafayette, LA 150 150 Robert Rex, Esq.

February 2019- Lafayette, LA According to publicly available records Mark Tauzin   (CRD#1716373) ,  a  currently unregistered stockbroker who was last  registered with LPL Financial,  disclose a regulatory event , a prior customer dispute…

read more
  • Robert Rex, Esq.

Michael Olinde-Former LPL Financial Broker-Discloses Pending FINRA Investigation & Employment Termination- Baton Rouge, LA
Michael Olinde-Former LPL Financial Broker-Discloses Pending FINRA Investigation & Employment Termination- Baton Rouge, LA 150 150 Robert Rex, Esq.

January 2019 – Baton Rouge, LA According to publicly available records Michael Edward Olinde (CRD# 3063204) ,  a   registered stockbroker currently employed by Capital Financial Services who was previously employed by LPL Financial,…

read more
  • Robert Rex, Esq.

Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI
Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI 150 150 Robert Rex, Esq.

October 2018 – Eau Claire, WI According to publicly available records Gary Lee Miller   (CRD#2669776) ,  a  former stockbroker who was last employed by LPL Financial ,  disclose a settled customer dispute. The Financial Industry…

read more
  • Robert Rex, Esq.

Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN
Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN 150 150 Robert Rex, Esq.

October 2020 – Franklin, TN The FINRA records of Scott Douglas Williams, who last worked for LPL Financial is not currently registered as a broker,  disclose  a pending customer dispute, 2 prior…

read more
  • Robert Rex, Esq.

Sonya Camarco-Former LPL Financial Broker-Charged With Securities Fraud/Theft-Colorado Springs, CO
Sonya Camarco-Former LPL Financial Broker-Charged With Securities Fraud/Theft-Colorado Springs, CO 150 150 Robert Rex, Esq.

May 2018-Colorado Springs, CO The FINRA records of  Sonya D. Camarco ,   a   former LPL FInancial broker was recently permanently barred from the securities industry by FINRA for failing to respond to…

read more
  • Robert Rex, Esq.

LPL Financial to Pay $26M to Resolve Regulatory Investigation
LPL Financial to Pay $26M to Resolve Regulatory Investigation 150 150 Robert Rex, Esq.

May 2018 The North American Securities Administrators Association (NASAA) announced that a settlement has been reached between state securities regulators and LPL Finanical requiring LPL Finanical to repurchase from investors…

read more
  • Robert Rex, Esq.

Melvin Case-Former LPL Financial Broker-Discharged for Failing to Report Pleading Guilty to Exploitation of Aged Adult-Jacksonville, FL
Melvin Case-Former LPL Financial Broker-Discharged for Failing to Report Pleading Guilty to Exploitation of Aged Adult-Jacksonville, FL 150 150 Robert Rex, Esq.

February 2018-Jacksonville, FL According to publicly available records Melvin E. Case  , (CRD# 2393464) ,  a   former stockbroker who last worked for LPL Financial LLC,  discloses that he was recently sanctioned by securities regulators…

read more
Enter your
text here
Verified by MonsterInsights