Tag: LPL Financial fraud
LPL Financial Fined $950,000 for Alternative Investment Sales
New Jersey Settlement alleges excessive amounts of alternative investments According to reports, the New Jersey Bureau of Securities...
LaeRoc Fund Investigation
LaeRoc Fund Investment Losses The White Law Group is investigating potential securities fraud claims against the broker-dealers that...
Former LPL Financial Advisor Elliot Kravitz Pleads Guilty to Fraud
According to the Cincinnati Business Courier, Elliot Kravitz, a financial advisor in Mason, Ohio, recently pleaded guilty to one count of...
Investment Losses: Former LPL Rep Arthur Lin
According to SEC documents, Arthur Lin, a former LPL Financial registered representative has been accused of selling “…$5,360,000 in...