Tag Archives: Arthur Obermeier

LPL Stockbroker Sanctioned For Unauthorized Trading

February 01, 2021  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   Comments Off on LPL Stockbroker Sanctioned For Unauthorized Trading

Arthur Obermeier (also known as Art Obermeier) of Boulder Colorado a stockbroker formerly registered with LPL Financial has been fined $5,000.00 and suspended for 60 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Obermeier executed unauthorized trades in the accounts of LPL Financial customers. Letter […]

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