Tag Archives: Christopher S. Laws

LPL Financial Stockbroker Under Regulatory Investigation

May 18, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Christopher S. Laws, of Roswell, Georgia, a stockbroker formerly registered with LPL Financial LLC, was named in a Securities and Exchange Commission (SEC) investigation on January 15, 2016, in which the SEC is examining allegations that Laws, inter alia, failed to disclose that the brokerage firm he worked for was not government affiliated when dealing […]

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