Tag: LPL Financial losses
November 2, 2018
Sonya Camarco – Sentenced to 20 Years in Prison
Former LPL Financial Advisor Sonya Camarco – Colorado Springs, Colorado According to reports today, Sonya Camarco, former LPL Financial...
October 31, 2018
FINRA Fines LPL Financial $2.75 Million
FINRA Sanctions LPL for Complaint Reporting Violations and AML Program Failures According to the Financial Industry Regulatory Authority...
Blog, Current Investigations, Securities Fraud Articles
May 3, 2018
LPL to Pay $26 Million for Failure to Supervise
LPL Financial Settles Charges with State Regulators According to a press announcement, LPL Financial has agreed to pay up to $26 million to...
April 25, 2018
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...
Blog, Current Investigations, Securities Fraud Articles
April 20, 2018
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,...
Blog, Current Investigations, Securities Fraud Articles
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 the Financial Industry Regulatory (FINRA), the...