Alfred Talens Jr., of Indianapolis, Indiana, a stockbroker formerly registered with LPL Financial LLC, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Talens failed to provide FINRA personnel with a response to a request for Talens’ information. Case No. 2015044377301 (Oct. 13, 2015).
FINRA Public Disclosure reveals that on May 9, 2016, a customer initiated investment related arbitration claim involving Talens’s conduct was settled for $300,000.00 in damages based upon allegations that Talens sold unregistered notes investments to the customer, and effected unsuitable variable annuity transactions.
Prior to Talens’ permanent bar, Talens’ registration with LPL Financial LLC was terminated on January 6, 2015, based upon allegations that he engaged in outside business activities in violation of LPL Financial’s policies and took part in unauthorized borrowing arrangements.
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