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Charla Kabana Barred During Investigation into Variable Annuity Business at LPL Financial

FINRA barred Charla Cynthia Kabana after she refused to cooperate with an investigation into the circumstances surrounding her termination from LPL Financial of Huntington Beach, CA, in which the firm raised concerns about her variable annuities (VA) business and associated compliance history. Kabana's record also indicated a history of personal financial difficulty.

AWC #2016050951001

Kabana (CRD #1453982), who joined Sagepoint Financial (also Huntington Beach, California) after her discharge from LPL in 2016, failed to provide requested documents to FINRA on multiple occasions. FINRA had requested copies of certain bank accounts, credit card statements, and checks; Kabana's BrokerCheck report indicates a history of multiple financial disclosures, including compromises with various creditors.

Kabana's BrokerCheck report also indicates several other business activities, including insurance, fixed annuities sales, and investment management through Kabana Financial, and an investment-related entity known as Benchmark Wealth Management.

After Kabana informed FINRA that she would not appear for on-the-record testimony in connection with its investigation into the LPL termination, Kabana separated from Sagepoint Financial in August 2018.

If you have invested with Charla Cynthia Kabana or with any broker or financial adviser whose compliance-questionable business practices related to variable annuities or other products has proven harmful to your investments or interests, such as through unsuitable recommendations or unauthorized transactions, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for investigation and consultation.

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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.
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