August 2021- Lisle, IL According to publicly available records, Raymond Velasco, Sr., a financial advisor who previously was employed by LPL Financial, discloses a regulatory event , a customer dispute and…
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 moreNovember 2020- Louisville, KY According to publicly available records Michael Mountjoy (CRD#4421573), an unregistered broker who last worked for LPL Financial, discloses a regulatory event and a termination from employment.…
read moreNovember 2020- Baton Rouge, LA According to publicly available records, former LPL Financial advisor Patrick Coogan, has been barred from the securities industry by FINRA. The Financial Industry Regulatory Authority…
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…
read moreMay 2019-Hot Springs Village, AR According to publicly available records Renee Valerie Altamirano (CRD#5644156) , a stockbroker who is currently not registered, discloses a regulatory event and a termination from employment.…
read moreMay 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 moreFebruary 2019 – Amarillo, Texas According to public records of Cheryl Ann Stallings (formerly Cheryl Ann Bledsoe) (CRD#1162913) a former stockbroker with LPL Financial, discloses a regulatory event and a termination from…
read moreJanuary 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 moreFebruary 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…
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