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Recent Posts in LPL Category

63 results found. Viewing page 1 of 3. Go to page 1 2 3   Next

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 ...
Continue reading "Charla Kabana Barred During Investigation into Variable Annuity Business at LPL Financial" »

IFG's Jon Pariser Barred During Investigation into Unsuitable Investments, Referral to Unlicensed Agent

FINRA barred former Independent Financial Group (Pacific Grove, CA) broker Jon Richard Pariser after he failed to cooperate with an investigation into allegations surrounding the recommendation or ...
Continue reading "IFG's Jon Pariser Barred During Investigation into Unsuitable Investments, Referral to Unlicensed Agent" »

LPL Financial's Bradley Gardner Barred for Conversion from Elderly Client

FINRA barred former LPL Financial (Fort Bragg, California) broker Bradley Everett Gardner for converting funds from an elderly client in 2017, purportedly accepting a personal check made payable to ...
Continue reading "LPL Financial's Bradley Gardner Barred for Conversion from Elderly Client" »

Troubled LPL Financial to Pay $26 Million for Selling Unregistered, Non-Exempt Securities

LPL Financial reached settlement with the North American State Securities Administrators Association (NASAA) to pay nearly $26 million in fines and penalties for selling unregistered securities not ...
Continue reading "Troubled LPL Financial to Pay $26 Million for Selling Unregistered, Non-Exempt Securities" »

Brent Lott Fined & Suspended for False Documentation Scheme in Connection with Heinz VA Ponzi

FINRA fined and suspended former LPL Financial (Orem, UT) broker Brent Van Lott for purportedly facilitating a non-registered individual, Steven Heinz, in effecting variable annuities (VA) and mutual ...
Continue reading "Brent Lott Fined & Suspended for False Documentation Scheme in Connection with Heinz VA Ponzi" »

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. ...
Continue reading "Laura Ortega Shean Barred for Converting $124,000 in Client Funds to Pay Personal Tax Bills" »

Sandeep Varma Cited for Misleading Estate Planning Seminar Communications

FINRA sanctioned former LPL Financial and present FSC Securities Corporation (both of San Diego, CA) broker Sandeep Varma for multiple violations related to seminar slide show presentations he ...
Continue reading "Sandeep Varma Cited for Misleading Estate Planning Seminar Communications" »

John William Bernard Sanctioned for Unauthorized Exercise of Discretion at LPL Financial

FINRA fined and suspended former LPL Financial and Independent Financial Group broker John William "Bill" Bernard for improperly exercising discretion while associated with LPL Financial of ...
Continue reading "John William Bernard Sanctioned for Unauthorized Exercise of Discretion at LPL Financial" »

NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats

The North American Securities Administrations Association (NASAA) announced the top threats to investors, identifying the most frequent sources of current investor complaints or industry ...
Continue reading "NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats" »

Ex-LPL Broker Leslie Koonce Barred After Falsely Denying Participation in Unauthorized Private Securities Transactions

FINRA barred Menlo Park, CA broker Leslie Rhodes Koonce for falsely denying participation in private securities transactions while associated with LPL Financial in Northern California. Since being ...
Continue reading "Ex-LPL Broker Leslie Koonce Barred After Falsely Denying Participation in Unauthorized Private Securities Transactions" »

Former LPL Broker Thomas Breslin Sanctioned for Undisclosed Private Securities Transactions in Biopharma Penny Stock

FINRA fined and suspended former Thomas Joseph Breslin Jr., formerly of LPL Financial's San Diego, California branch, for engaging in private securities transactions in a penny stock without ...
Continue reading "Former LPL Broker Thomas Breslin Sanctioned for Undisclosed Private Securities Transactions in Biopharma Penny Stock" »

Ex-LPL Rep Sonya D Camarco Charged with Securities Fraud and Theft in Colorado

The Colorado Securities Division charged former LPL Financial broker Sonya D Camarco aka Sonya D Fatchett of Colorado Springs with six counts of securities fraud and seven counts of theft. The ...
Continue reading "Ex-LPL Rep Sonya D Camarco Charged with Securities Fraud and Theft in Colorado" »

SII Investments Charged with REIT Supervisory Failures in Liquid Net Worth Overvaluations

The Commonwealth of Massachusetts' Securities Division charged SII Investments, Inc. with dishonest and unethical conduct, including supervisory failures, in allowing "systematic" ...
Continue reading "SII Investments Charged with REIT Supervisory Failures in Liquid Net Worth Overvaluations" »

Former LPL Financial San Diego Broker Marc Ravenscroft Barred for Conversion, Use of Phony Expense Reports

FINRA barred ex-LPL Financial broker Marc Mitchell Ravenscroft, formerly of the firm's San Diego branch, for converting $16,299 from LPL as improper reimbursements for expenses while failing to ...
Continue reading "Former LPL Financial San Diego Broker Marc Ravenscroft Barred for Conversion, Use of Phony Expense Reports" »

SEC Freezes Ex-LPL Broker Sonya D Camarco's Assets in Alleged $2.8 Million Fraud and Misappropriation Scheme

Claiming that former LPL Financial broker Sonya Delora Camarco aka Sonya D Fatchett of the firm's Colorado Springs branch stole several millions of dollars from clients during a 13-year fraud ...
Continue reading "SEC Freezes Ex-LPL Broker Sonya D Camarco's Assets in Alleged $2.8 Million Fraud and Misappropriation Scheme" »

Ex-LPL Financial Broker Stanley Scott Garrison Cited for Undisclosed Business, False Compliance Questionnaires

FINRA fined and suspended former LPL Financial, LLC broker Stanley Scott Garrison of Bakersfield, California for failing to disclose an outside business activity and for providing false answers on ...
Continue reading "Ex-LPL Financial Broker Stanley Scott Garrison Cited for Undisclosed Business, False Compliance Questionnaires" »

Fictitious Letters to Elderly VA Customer Earns Jason Belajack a Permanent Bar in Latest Discipline of Ex-ACG Broker

FINRA barred former Lincoln Financial Advisors Corporation and Accelerated Capital Group (Irvine, CA) broker Jason Michael Belajack for creating fictitious letters on firm letterhead to cover up the ...
Continue reading "Fictitious Letters to Elderly VA Customer Earns Jason Belajack a Permanent Bar in Latest Discipline of Ex-ACG Broker" »

Former LPL Financial (Fresno) Broker Todd Pilosi Punished for Borrowing Money From Client

FINRA fined and suspended Todd Joseph Pilosi, formerly of RBC Capital Markets and LPL Financial's Fresno, CA branches for borrowing a total of $150,000 from a customer of his. AWC #2016051455601 ...
Continue reading "Former LPL Financial (Fresno) Broker Todd Pilosi Punished for Borrowing Money From Client" »

LPL Settles Over Non-Traded REIT Misconduct, Possible $8 Million Payout for Latest LPL Snafu

LPL Financial settled charges with the New Hampshire Bureau of Securities Regulation related to unsuitable and unlawful sales of non-traded real estate investment trusts (REITs), and for failing to ...
Continue reading "LPL Settles Over Non-Traded REIT Misconduct, Possible $8 Million Payout for Latest LPL Snafu" »

Ex-LPL Rep Thomas Andrews Charged with Defrauding 23 Investors in Liquidation Scheme

SEC officials charged former LPL Financial broker Thomas Edward Andrews of California with defrauding 23 investors by convincing them through lofty promises of high returns to liquidate their ...
Continue reading "Ex-LPL Rep Thomas Andrews Charged with Defrauding 23 Investors in Liquidation Scheme" »

Ex-LPL Broker Robert Tricarico Convicted, Sentenced for Stealing $1.2 Million from Elderly Clients, Wire Fraud

After FINRA barred former LPL Financial broker Robert Neil Tricarico for failing to cooperate with an investigation, Tricarico pled guilty in federal court to one count of wire fraud and received a ...
Continue reading "Ex-LPL Broker Robert Tricarico Convicted, Sentenced for Stealing $1.2 Million from Elderly Clients, Wire Fraud" »

LPL Financial Fined $900,000 for Failing to Send Required Account Notices, Supervisory Failures

FINRA fined LPL Financial $900,000 for failing to send customers more than 1.6 million account notices required under the Exchange Act. Regulators admonished LPL for failing to send over 25% of ...
Continue reading "LPL Financial Fined $900,000 for Failing to Send Required Account Notices, Supervisory Failures" »

2017 FINRA Priorities: High-Risk and Repeat-Offender Brokers, Suitability & Sales Practices, Cybersecurity

In its annual Regulatory and Examination Priorities Letter for 2017, FINRA revealed several observations from the past year regarding areas of weakness and recommendations on how to strengthen or ...
Continue reading "2017 FINRA Priorities: High-Risk and Repeat-Offender Brokers, Suitability & Sales Practices, Cybersecurity" »

Wells Fargo, LPL Financial Among 12 Firms Fined $14.4 Million for Cybersecurity, Data Protection Failures

FINRA fined 12 member firms a total of $14.4 million for what the regulator deemed "significant deficiencies" related to preservation and protection of electronic brokerage and customer ...
Continue reading "Wells Fargo, LPL Financial Among 12 Firms Fined $14.4 Million for Cybersecurity, Data Protection Failures" »

MA Charges LPL Financial for Adviser Roger Zullo's Alleged Variable Annuity Fraud, Elder Abuse

Massachusetts regulators charged LPL Financial with failing to supervise financial adviser Roger Salvatore Zullo, who the state says defrauded clients, lied to supervisors, fabricated LPL clients' ...
Continue reading "MA Charges LPL Financial for Adviser Roger Zullo's Alleged Variable Annuity Fraud, Elder Abuse" »
63 results found. Viewing page 1 of 3. Go to page 1 2 3   Next
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