Posts In LPL

FINRA barred John Lee Scott, formerly of LPL Financial in Phoenix, as a result of an investigation ...

FINRA barred former LPL Financial broker and Graysail Capital Vice President Rhett Douglas Bedwell ...

FINRA fined and suspended LPL Financial broker Scott Richard Hansen for preparing a will and trust ...

FINRA fined and suspended LPL Financial broker Arthur Obermeier, formerly of LPL's Boulder, Colorado ...

FINRA fined LPL Financial $6.5 million for failures in its supervisory system related to record ...

FINRA fined and suspended former LPL Financial (Albuquerque, New Mexico) broker Timothy Aaron ...