Tag Archives: Bradley Ross Thompson

FINRA Fines LPL Financial Broker For Customer Loans

December 15, 2017  |   Posted by :   |   Customer Loans   |   0 Comments

Bradley Ross Thompson, of Fort Collins, Colorado, a stockbroker registered with LPL Financial LLC, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he entered into unauthorized lending arrangements with customers of the firm. Letter of Acceptance, Waiver and Consent, […]

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