LPL

• Nov 11, 2024 FINRA Disciplines Marc Barton for Reusing Customer Signatures on New Documents

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• Aug 27, 2024 SEC Fines Ameriprise, LPL Financial, Raymond James & Others $394 Million for Improper Texting, Off-Channel Communications

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• Feb 8, 2024 Investor Loses $300,000 in Unapproved Securities-Based Loan Strategy

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• Jan 9, 2024 LPL Financial to Pay $6 Million for Supervisory, Sales Practice, and Review Failures

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• Aug 6, 2023 LPL Financial's Gregory Collins Cited for Failing to Disclose Side Gigs, Including Hedge Fund Role

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• Jun 20, 2023 LPL Financial Ex-Broker Patrick Thayer Charged with Misappropriating $1.3 Million from Client

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• Jun 9, 2023 LPL & CUSO Financial Broker Kale KH Young Sanctioned for Falsifying Customer Signatures

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• Jan 30, 2023 SoCal Broker Jay Eng Cited for Impersonating Customer in Call with Annuity Company

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• Dec 13, 2022 LPL Financial Fined $150k, Admonished for Failing to Supervise Broker Involved in Ponzi Scheme

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