lpl financial problems Archives

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February 11, 2025

Robert Li-LPL Financial Broker-Discloses Customer Dispute Over Use of Margin Borrowing- Naperville, IL

Robert Li-LPL Financial Broker-Discloses Customer Dispute Over Use of Margin Borrowing- Naperville, IL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g February 11, 2025 February 12, 2025

Robert Li Investigation February 2025-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…

Robert Rex, Esq.
June 23, 2020

Kathryn Charpie-Former LPL Financial Broker-Discloses Regulatory Event and Termination-Overland Park, KS

Kathryn Charpie-Former LPL Financial Broker-Discloses Regulatory Event and Termination-Overland Park, KS https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 23, 2020 April 5, 2024

June 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…

Robert Rex, Esq.
May 14, 2018

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 14, 2018 April 5, 2024

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…

Robert Rex, Esq.
June 13, 2017

Charles R. Elhoff-LPL Financial Broker-Discloses Pending Customer Dispute-Arlington, TX

Charles R. Elhoff-LPL Financial Broker-Discloses Pending Customer Dispute-Arlington, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 13, 2017 April 11, 2024

June 2017- Arlington, Texas According to publicly available records Charles R. Elhoff, Jr. (CRD#76936) , a stockbroker who currently is employed by LPL Financial, discloses a currently pending customer dispute and a prior…

Robert Rex, Esq.
November 23, 2015

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 23, 2015 April 5, 2024

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…