Tag Archives: Brian Lawrence Stephan

LPL Stockbroker Sanctioned For Mutual Fund Misconduct

Brian Lawrence Stephan of Xenia Ohio a stockbroker formerly registered with LPL Financial LLC has been fined $10,000.00 and suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Order Accepting Offer of Settlement based on findings that (1) Stephan gave the customer unsuitanble investment […]

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FINRA Charges LPL With Overcharging Investors

August 25, 2018  |   Posted by :   |   Investment and Regulatory News, Mutual Fund Fraud   |   0 Comments

Brian Lawrence Stephan of Xenia Ohio a stockbroker formerly employed by LPL Financial LLC and Commonwealth Financial Network has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Stephan engaged in unsuitable mutual fund trading and the mismarking of transactions and switch forms. Department of Enforcement v. Brian Lawrence Stephan Disciplinary […]

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