Tag Archives: Charla Cynthia Kabana

FINRA Bars LPL Stockbroker In Investigation

September 12, 2018  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

Charla Cynthia Kabana of Huntington Beach California a stockbroker formerly employed by LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to comply with FINRA’s investigation into her possible variable annuity sales practice violations. Letter of Acceptance […]

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