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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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

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LPL Financial October 31, 2017

LPL Financial Fined $950,000 for Alternative Investment Sales

New Jersey Settlement alleges excessive amounts of alternative investments According

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Charles Fackrell October 30, 2017

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

Update: NC Fines LPL for Charles Fackrell Ponzi Scheme Did you lose money investing

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Sonya Camarco September 18, 2017

LPL Advisor Sonya Camarco Charged with Stealing Client Funds

Investigating Potential Claims Involving Sonya Carmaco According to her FINRA

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