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Tag: LPL Financial investigation

Current Investigations

More Trouble for LPL Financial due to Nontraded REIT sales

LPL may have to refund $8 Million for sales of nontraded REITs According to Investment News, LPL Financial could end up refunding $8...

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Blog, Securities Fraud Articles

LPL Financial Fined Millions For Widespread Supervisory Failures

The Financial Industry Regulatory Authority fined LPL Financial $10 million for what they deemed as “broad supervisory...

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Blog, Securities Fraud Articles

LaeRoc Fund Investigation

LaeRoc Fund Investment Losses The White Law Group is investigating potential securities fraud claims against the broker-dealers that...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

LPL Financial Fined for Failure to Supervise Jack Kleck

According to the investmentnews.com Oregon regulators in charge of securities have fined LPL Financial LLC $100,000 “for failing to...

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