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Laura Ortega Shean Barred for Converting $124,000 in Client Funds to Pay Personal Tax Bills

FINRA barred former LPL Financial principal Laura Ortega Shean aka Laura Ortega Provost of Medford, Oregon, after finding that she converted $124,000 in customer funds to pay her personal tax bills.

AWC #2017056236901

The report states that on six occasions in 2017, Shean (CRD #2628756) provided the IRS with information pertaining to her customer's brokerage account, directing the agency to withdraw funds from the client's account in order to pay Shean's personal tax bills.

LPL Financial terminated Shean in November 2017 upon Shean's admission to accessing a client's funds for personal use, while The Oregon Division of Financial Regulation found that Shean misappropriated a total of $124,402.83 from a customer's account through a series of unauthorized transactions from March through October that year.

If you have invested with former LPL Financial representative Laura Ortega Shean aka Laura Provost, or with any broker or financial adviser who has improperly misappropriated or converted funds for unauthorized personal use, resulting in losses or other harm to your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.

Categories: Discipline, Conversion, FINRA, LPL, Tax
The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.