Tag Archives: Brent Van Lott

LPL Stockbroker Charged With Falsifying Documents

February 20, 2018  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

Brent Van Lott of Orem Utah is a stockbroker formerly registered with LPL Financial LLC who has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Lott falsified documents relating to customers’ securities transactions. Department of Enforcement v. Brent Lott Disciplinary Proceeding No. 2013038124102 (Jan. 25 2018). According to the Complaint, […]

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LPL Financial Named In Customer Arbitration Alleging Unauthorized Trading

Brent Van Lott, of Orem, Utah, a stockbroker formerly registered with LPL Financial LLC, has been subject to a customer initiated investment related arbitration claim on January 26, 2016, in which the customer requested $2,015,000.00 in damages based upon allegations that Lott effected trades in the customer’s account without the customer’s authorization. On March 4, […]

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