LPL Financial losses
Tag Archive

Sonya Camarco November 2, 2018

Sonya Camarco – Sentenced to 20 Years in Prison

Former LPL Financial Advisor Sonya Camarco – Colorado Springs, Colorado According

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LPL October 31, 2018

FINRA Fines LPL Financial $2.75 Million

FINRA Sanctions LPL for Complaint Reporting Violations and AML Program Failures

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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

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LPL Financial April 25, 2018

LPL Financial LLC – Censured & Fined $375,000

FINRA Sanctions LPL Financial for Supervisory Issues According to the Financial

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Li-Lin Hsu April 20, 2018

Li-Lin Hsu Charged with Fraud

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

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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

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