Tag Archives: Benard Wayne Gann

FINRA Sanctions LPL Stockbroker For Unauthorized Trading

July 11, 2020  |   Posted by :   |   Unauthorized Trading   |   Comments Off on FINRA Sanctions LPL Stockbroker For Unauthorized Trading

Benard Wayne Gann of Tyler Texas a stockbroker formerly associated with LPL Financial LLC has been fined $5,000.00 and suspended for 30 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on his consent to findings that he facilitated an unauthorized transaction in a customer’s account. Letter of Acceptance […]

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