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Tag: LPL Financial lawsuit

Blog, Current Investigations

LPL Financial LLC Censured & Fined $375,000

FINRA Sanctions LPL Financial for Supervisory Issues According to the Financial Industry Regulatory Authority on February 6, 2018, LPL...

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Blog, Current Investigations, Securities Fraud Articles

Li-Lin Hsu Charged with Fraud

Li-Lin Hsu –aka Yilin Hsu – Ameriprise – Los Angeles, CA – Investigation According to an article yesterday in My News LA,...

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Blog, Current Investigations, Securities Fraud Articles

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 the Financial Industry Regulatory (FINRA), the...

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Current Investigations, Securities Fraud Articles

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

Investigating Potential Claims Involving Charles Fackrell and LPL Financial According to the Financial Industry Regulatory Authority...

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Blog, Current Investigations, Securities Fraud Articles

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...

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Blog, Current Investigations

Charles Fackrell Serves Term – LPL to pay $295,000 for Ponzi Scheme

Update: NC Fines LPL for Charles Fackrell Ponzi Scheme Did you lose money investing with Charles Fackrell and LPL Financial? If so, the...

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