Close
Skip to Content
High Contrast
Increase Text Size
Clear All
Securities Fraud Blog
Toll Free
888-527-3427
Local
818-760-9880
Home
Meet The Attorneys
Jonathan W. Evans
Michael S. Edmiston
Firm Overview
In The News
On Social Media
Videos
Securities
Northstar Financial (Bermuda)
Broker Misrepresentation
Brokerage Firms Sued
FINRA
Structured Products
Hedge Fund Losses
Recognizing Investment Losses
NOP Myth
P&L
Recovery of Investment Loss
Securities Arbitration
Reverse Convertible
Misconduct
Affinity Fraud
Breach of Contract
Fraud
Failure to Conduct Due Diligence
Failure to Disclose Facts and Risks
Failure to Execute Trades
Misrepresentation/Omission
Overconcentration
Selling Away
Account Churning
Ponzi Schemes
Scams Involving High Yield CDs
Stockbroker Fraud
Transferring Your Investment Account
Theft/Conversion
Unauthorized Trading
Unsuitable Securities
Securities Fraud
Signs of Securities Fraud
Securities Mediation
Securities Litigation
Stock/ Investment Losses
Suitability/ Unsuitability
Unauthorized Trading
Common Claims
Breach of Fi-Du
Negligence
State Securities Laws
Suitability
Products
Annuities
Bonds
Limited Partnerships
Mutual Funds
Options
Principal Protected Notes
Private Placements
Promissory Notes
REITs
Reverse Convertibles
Stocks
Structured Products
TICs
UITs
Frequently Asked Questions
Attorney Referrals
Video Center
Testimonials
Recoveries Obtained
Site Search
Contact Us
Local Office
818-760-9880
Top
LPL
Featured
Year
Select a Date
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Clear All
August 06, 2023
LPL Financial's Gregory Collins Cited for Failing to Disclose Side Gigs, Including Hedge Fund Role
June 20, 2023
LPL Financial Ex-Broker Patrick Thayer Charged with Misappropriating $1.3 Million from Client
June 09, 2023
LPL & CUSO Financial Broker Kale KH Young Sanctioned for Falsifying Customer Signatures
January 30, 2023
SoCal Broker Jay Eng Cited for Impersonating Customer in Call with Annuity Company
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
