Joseph A. Likens, of Des Peres, Missouri, a stockbroker formerly registered with LPL Financial LLC, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) Member in any capacity after consenting to findings that he failed to cooperate with a FINRA investigation into allegations that Likens participated in unauthorized private securities transactions or […]
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Tag Archives: Cornerstone Wealth Management LLC
LPL Financial LLC Stockbroker Barred For Selling Away
November 18, 2016 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments