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March 04, 2022 KIRN Radio Personality Tony Barouti (Barouti Financial) Under Investigation Over Possible GWG Holdings L Bond Sales
April 24, 2020 Brokerages Stop Risk-Laden REIT Sales After Massive Coronavirus Losses
November 05, 2019 SEC Bars James Booth (Ex-LPL Financial) Over $5 Million Ponzi Scheme Victimizing Elderly Clients
July 05, 2019 SEC Complaint Names LPL Financial Ex-Broker Kerry Lee Hoffman Alongside Fraudster Thomas Conwell
June 06, 2019 Ron Ray Willoughby Cited for Unsuitable Short-Term UIT Trading
October 15, 2018 Charla Kabana Barred During Investigation into Variable Annuity Business at LPL Financial
October 05, 2018 IFG's Jon Pariser Barred During Investigation into Unsuitable Investments, Referral to Unlicensed Agent
June 14, 2018 LPL Financial's Bradley Gardner Barred for Conversion from Elderly Client
January 30, 2023 SoCal Broker Jay Eng Cited for Impersonating Customer in Call with Annuity Company
December 13, 2022 LPL Financial Fined $150k, Admonished for Failing to Supervise Broker Involved in Ponzi Scheme
May 09, 2022 LPL Financial Broker Bruce Amman Cited for Transacting $3.5 Million Private Placement Without LPL Approval
March 18, 2022 Former Wells Fargo & LPL Financial Broker Mario Rivero Arrested for Stealing $680,000 From Clients
October 05, 2021 Ex-Vorpahl Wing & LPL Financial Broker Lee Victor Nordstrom Barred After Allegedly Placing IRA Trades 4 Days After Client's Death
September 20, 2021 Ex-LPL Financial, APW Capital's Paul Furusho Barred After Loan Investigation
April 26, 2021 FINRA Bars John Lee Scott of LPL Financial (Phoenix) During Outside Business Activity nad Private Securities Transaction Investigation
March 04, 2021 LPL Broker Rhett Douglas Bedwell Barred During Investigation of Ponzi Scheme
February 27, 2021 Scott Hansen Sanctioned for Unapproved Will and Trust for Elderly Customer, Threatening Family After Client's Death
January 13, 2021 LPL Financial's Arthur Obermeier Cited for Unauthorized Discretionary Trading
January 07, 2021 LPL Financial Fined $6.5 Million for Supervisory Deficiencies in Wake of $1+ Million Ponzi Scheme
November 03, 2020 LPL Financial's Timothy Engelmann Sanctioned for Unauthorized Loan Through LLC
September 01, 2020 LPL Financial's James Rapisarda Cited for Private Securities Transaction
June 05, 2020 LPL's Donald Padilla Suspended for Circumventing Firm Supervision, Unapproved Email Accounts
May 10, 2020 FINRA: LPL Financial Unsuitably Sold Elderly Clients Risky REITs After Broker Lied About Customers' Net Worth
July 22, 2019 FINRA Disciplines LPL Financial's Eric Savell Over Undisclosed Outside Business Activity
January 24, 2019 LPL Financial Sues Barred Ex-Broker Christopher Lossing over $292,000 Theft it Inadvertently Aided
May 08, 2018 Troubled LPL Financial to Pay $26 Million for Selling Unregistered, Non-Exempt Securities
April 11, 2018 Brent Lott Fined & Suspended for False Documentation Scheme in Connection with Heinz VA Ponzi
April 05, 2018 Laura Ortega Shean Barred for Converting $124,000 in Client Funds to Pay Personal Tax Bills
January 22, 2018 Sandeep Varma Cited for Misleading Estate Planning Seminar Communications
January 08, 2018 John William Bernard Sanctioned for Unauthorized Exercise of Discretion at LPL Financial
December 27, 2017 NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats
December 18, 2017 Ex-LPL Broker Leslie Koonce Barred After Falsely Denying Participation in Unauthorized Private Securities Transactions
November 01, 2017 Former LPL Broker Thomas Breslin Sanctioned for Undisclosed Private Securities Transactions in Biopharma Penny Stock
September 28, 2017 Ex-LPL Rep Sonya D Camarco Charged with Securities Fraud and Theft in Colorado
September 22, 2017 SII Investments Charged with REIT Supervisory Failures in Liquid Net Worth Overvaluations
September 21, 2017 Former LPL Financial San Diego Broker Marc Ravenscroft Barred for Conversion, Use of Phony Expense Reports
August 27, 2017 SEC Freezes Ex-LPL Broker Sonya D Camarco's Assets in Alleged $2.8 Million Fraud and Misappropriation Scheme
August 07, 2017 Ex-LPL Financial Broker Stanley Scott Garrison Cited for Undisclosed Business, False Compliance Questionnaires
July 31, 2017 Fictitious Letters to Elderly VA Customer Earns Jason Belajack a Permanent Bar in Latest Discipline of Ex-ACG Broker
June 27, 2017 Former LPL Financial (Fresno) Broker Todd Pilosi Punished for Borrowing Money From Client
May 03, 2017 LPL Settles Over Non-Traded REIT Misconduct, Possible $8 Million Payout for Latest LPL Snafu
May 02, 2017 Ex-LPL Rep Thomas Andrews Charged with Defrauding 23 Investors in Liquidation Scheme
April 13, 2017 Ex-LPL Broker Robert Tricarico Convicted, Sentenced for Stealing $1.2 Million from Elderly Clients, Wire Fraud
February 16, 2017 LPL Financial Fined $900,000 for Failing to Send Required Account Notices, Supervisory Failures
January 05, 2017 2017 FINRA Priorities: High-Risk and Repeat-Offender Brokers, Suitability & Sales Practices, Cybersecurity
December 22, 2016 Wells Fargo, LPL Financial Among 12 Firms Fined $14.4 Million for Cybersecurity, Data Protection Failures
December 02, 2016 MA Charges LPL Financial for Adviser Roger Zullo's Alleged Variable Annuity Fraud, Elder Abuse
November 14, 2016 FINRA Bars Ex-LPL Broker Dominic DeBruin over Undisclosed Private Securities Transactions, Depositing Client Money into Controlled Account
November 01, 2016 Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses
October 21, 2016 Ex-LPL Broker Mark Tauzin Suspended, Ordered to Pay $225,000 for Unsuitable UIT Short-Term Trading
October 20, 2016 JWE Investigating Ponzi-Like Scheme Involving UDF IV REITs as SEC Issues Wells Notice
September 19, 2016 George Zedan Barred for Elder Abuse and Conversion of 87-Year-Old Customer's Funds, Escapes Prosecution when Victim Dies
September 13, 2016 Ex-LPL Broker Cheryl Kerber Fined & Suspended for False Statements About a Loan
August 24, 2016 Ex-LPL Financial & Crown Capital Broker Eric Kuchel Barred After Failing to Cooperate with Mutual Fund Investigation
August 11, 2016 Non-Traded REITs Failing in Face of Industry, Regulatory Challenges, High Commissions
July 20, 2016 Prudential Annuities Fined $950k for Failing to Prevent Theft of $1.3 Million From Elderly Client's VA
April 25, 2016 Customers Accuse LPL Financial and its Ex-Broker Karl Romero of Misrepresentation, Unsuitable Recommendations
February 17, 2016 SoCal Broker Angelo Talebi Fined & Suspended for Improper Trading in Customer's Account
January 19, 2016 Former LPL Broker Timothy Richard Yee Fined & Suspended for Unapproved Outside Transactions
January 04, 2016 LPL Financial Ordered to Pay $750k for Improper REIT Sales to Elderly Client
December 31, 2015 CFP Board Suspends David Gabai After FINRA Bar for Alleged Deceptive and Fraudulent Scheme
September 20, 2015 Dean Michael Yurica Fined, Suspended for Falsifying Customer Documents, Re-Using Signatures
August 19, 2015 Glenn Moffitt Barred Over Allegations He Converted Over $370,000 from Elderly Customer, Churned His Accounts
August 18, 2015 Walter Chao Fined and Suspended for Selling Facebook IPO Shares Away from LPL Financial, Supervisory Failures
May 08, 2015 Raymond Daniel Schmidt Barred After Borrowing $2.25 Million from LPL Financial Clients
May 06, 2015 FINRA Sanctions LPL Financial $11.7 Million for Major Supervisory Failures in ETF, REIT and VA Products
April 10, 2015 New Hampshire Regulator Seeks $3.6 Million from LPL for Unsuitable REIT Sales to Elderly Clients
February 28, 2015 Former LPL Broker James Rosebrough Fined & Suspended for Undisclosed Outside Business Activity
January 19, 2015 Kevin Luby Fined $25k, Suspended for Disclosure Failures Related to Elderly Customer's Trust and Estate
January 16, 2015 Merrill Lynch Fined $175k for Failing to Timely Report Complaints of Defrauding Adviser Who Escaped to LPL
December 27, 2014 LPL, Commonwealth's Angela Marie Borchardt, and Kenneth William Schulz Barred for Customer Impersonation Scheme
December 06, 2014 David Lawrence Gabai Barred for Deceptive, Fraudulent and Manipulative Schemes
December 03, 2014 Tammara Lynne Collins Fined & Suspended for Improperly Altering Annuity Purchase Documents
October 23, 2014 At LPL Financial, Higher Q3 Charges For Regulatory Costs
September 04, 2014 Former LPL Broker Blake Richards Ordered to Pay $2 Million for Defrauding Clients
August 08, 2014 Former LPL Financial's Mehrdad Farhat Fined, Suspended for Undisclosed Outside Business Activity
June 23, 2014 Former LPL Financial Broker Joshua Allen Farahi for Unauthorized Outside Business Activity
March 25, 2014 LPL Financial Fined $950,000 for Concentration Violations in Alternative Investments, Non-Traded REITs Sales
December 24, 2013 Gary J. Chackman Barred for Unsuitable Non-traded REIT Transactions
May 24, 2013 Former LPL Financial Adviser Blake Richards Charged in $2 Million Fraudulent Scheme
May 18, 2013 Greg John Campbell Barred in $2+ Million Misappropriation Scheme
April 23, 2013 Jon Patrick Horvath Barred Following Fraudulent Alteration of Check, Conversion of Funds
March 24, 2013 LPL Financial Firm Under Fire and On Radar with Several Securities Regulators
March 20, 2013 Alberto Neira Barred for Failure to Disclose Outside Business, Investment Sales
February 06, 2013 Massachusetts Regulators Order LPL Financial to Pay $2 Million in Restitution

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