LPL Financial lawsuit
Tag Archive

FINRA Hits LPL Financial with $6M for Supervisory Failures, featured by top securities fraud attorneys, The White Law Group January 6, 2021

FINRA Hits LPL Financial with $6M for Supervisory Failures

LPL Financial has agreed to a censure and $6.5 million fine for several supervisory

Read article

LPL Financial lawsuit, Featured by Top Securities Fraud Attorneys July 17, 2019

LPL Financial Lawsuit

The White Law Group announces the filing of another FINRA Lawsuit against LPL

Read article

LPL Financial Lawsuit, Featured by Top Securities Fraud Attorneys, The White Law Group. May 9, 2019

LPL Financial Lawsuit Alleges Investment Losses

LPL Financial Lawsuit The White Law Group announces the filing of a FINRA

Read article

LPL October 31, 2018

FINRA Fines LPL Financial $2.75 Million

FINRA Sanctions LPL for Complaint Reporting Violations and AML Program Failures

Read article

LPL May 3, 2018

LPL to Pay $26 Million for Failure to Supervise Unregistered...

LPL Financial Settles Charges with State Regulators According to a press

Read article

LPL Financial April 25, 2018

LPL Financial LLC – Censured & Fined $375,000

FINRA Sanctions LPL Financial for Supervisory Issues According to the Financial

Read article

Li-Lin Hsu April 20, 2018

Li-Lin Hsu Charged with Fraud

Li-Lin Hsu –aka Yilin Hsu – Ameriprise – Los Angeles, CA –

Read article

Laura Ortega Shean April 5, 2018

Former LPL Advisor Laura Ortega Shean Barred from Securities Industry

FINRA Bars Laura Ortega Shean for using client funds to pay her taxes. According to

Read article

Charles Fackrell January 18, 2018

LPL Financial to Pay $462,000 Arbitration Award for Ponzi Scheme

Investigating Potential Claims Involving Charles Fackrell and LPL Financial

Read article

LPL Financial October 31, 2017

LPL Financial Fined $950,000 for Alternative Investment Sales

New Jersey Settlement alleges excessive amounts of alternative investments According

Read article