Tag Archives: Daniel Ian Stieff

LPL Financial Fires Stockbroker For UIT Misconduct

August 15, 2017  |   Posted by :   |   Unit Investment Trusts (UITs)   |   0 Comments

Daniel Ian Stieff, of Westlake Village, California, a stockbroker registered with LPL Financial LLC, has been terminated from employment on November 5, 2015, based upon allegations that he traded mutual funds and short-term unit investment trust products in customer accounts in a manner which raised the company’s concerns for sales practice violations, and violated the […]

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