lpl financial problem

  • Robert Rex, Esq.

Lawrence Miller-Former LPL FInancial Broker-Barred from Industry
Lawrence Miller-Former LPL FInancial Broker-Barred from Industry 150 150 Robert Rex, Esq.

February 11, 2016- Plantation, Florida Lawrence Leslie Miller entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he refused to provide…

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  • Robert Rex, Esq.

LPL FIned $95,000 by Texas State Securities Board for $2 Million Loan to Broker by Customer
LPL FIned $95,000 by Texas State Securities Board for $2 Million Loan to Broker by Customer 150 150 Robert Rex, Esq.

February 18, 2016- The Texas State Securities Board reprimanded LPL Financial and ordered the company to pay a $95,000 fine for supervisory failures that led to one of their brokers…

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  • Robert Rex, Esq.

Former LPL Financial/H.D. Vest Broker Sanctioned by Securities Regulator-Hollywood, FLA
Former LPL Financial/H.D. Vest Broker Sanctioned by Securities Regulator-Hollywood, FLA 150 150 Robert Rex, Esq.

November 3 , 2015 Daniel Kasbar  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide documents and information…

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  • Robert Rex, Esq.

LPL Financial Stock Broker Barred from Industry Following Allegations that Funds Were Improperly Taken
LPL Financial Stock Broker Barred from Industry Following Allegations that Funds Were Improperly Taken 150 150 Robert Rex, Esq.

October 7, 2015-Fishers, IN Barbara D. Fife , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she failed to…

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  • Robert Rex, Esq.

Garrett “Drew” Ahrens- Former LPL Financial Broker-Discloses Sanction and Settlements Over REIT Investments-Lafayette, LA
Garrett “Drew” Ahrens- Former LPL Financial Broker-Discloses Sanction and Settlements Over REIT Investments-Lafayette, LA 150 150 Robert Rex, Esq.

May 2017- Lafayette, Louisiana Garrett A. Ahrens  (aka Drew Ahrens) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between…

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  • Robert Rex, Esq.

Former LPL Financial Broker Sanctioned by Regulators For Failing to Disclose IRS Lien
Former LPL Financial Broker Sanctioned by Regulators For Failing to Disclose IRS Lien 150 150 Robert Rex, Esq.

July 1, 2015 John Allen Brown entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in June 2015 he…

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